FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
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Executive Summary
The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred
Beginning with the June 2009 reporting period, FINRA is issuing a preliminary version of the OATS Compliance Report Card in an effort to provide firms with more timely information regarding their overall OATS compliance performance.
I would think some retail investors would take offense to the way this article was written. In reality we are well educated well informed individuals that no longer believe we should just do things the way they have always been done. We invest in good companies thats only downfall is the market structure dark pools and market makers. Its not that we need to be educated, the agencys need to end
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
People should have the ability to protect themselves in cases of market downturns. People understand insurance against unforeseen events. A market downturn just when you need your money is a serious event. People need to be able to buy protection against that. Also, there is plenty of information made available to investors about these funds. The average investor should understand it well enough
I have been successfully managing my investments for decades. Leveraged and inverse funds have been an effective tool for me, especially in this volatile environment. I would have been at a disadvantage if I was not able to use these tools as hedges especially for my long positions that I have held for years, and which would cause an expensive tax event if I had to sell them. I hope that FINRA
Dear FINRA, I am dismayed to hear of your plans to impose restrictions on the types of public investments that I can invest in. I am an adult and you are not my parents. I am capable of making my own decisions about what I buy and understanding what I buy. Even if I weren't, it is still wrong for regulators to try and decide who is able to participate and who is not. I urge you to
I am concerned about potential regulations that would limit access to leveraged and inverse funds especially for small investors. I find these funds useful to hedge my portfolio while preserving cash. They are a useful risk management instrument when used appropriately. Rather than place burdensome restrictions on investors, FINRA might consider requiring more transparency from companies issuing
Dear FINRA,
Please do not put special restrictions and requirements on select inverters.
Everyone should have equal access to investing. Allowing only select inverters to invest in all available in vestments creates a special class of society that have opportunity to hoard all the wealth and leave everyone else lacking. There is too much inequities now. Let's not make it worse by
