The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior investors and vulnerable adults. This conference includes an expanded focus on FINRA Rules 2165 and 4512—which provide firms with tools to help protect seniors and vulnerable investors from financial exploitation.
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
SEA Rule 17f-2 generally requires your firm to submit fingerprints for each person who is a partner, director, officer or employee of your firm, subject to certain exceptions. Fingerprints are submitted on either FINRA approved fingerprint cards or electronically through a certified EFS vendor contracted with Sterling. Firms pay fingerprint fees by using E-Bill, FINRA's electronic billing
If I wasnt comfortable with my investment choices I wouldnt make them. I conduct all relevant research before making an investment and leveraged and inverse securities are no different. My broker provides sufficient information with respect to the risk of the investment and I dont believe any additional conditions are necessary from regulators.
I oppose restrictions to my investment decision. I do not need anyone's approval to invest my own hard earned money in a FREE society. I am capable of understanding written information and to not need BIG BROTHER's approval or protection. I strongly oppose restrictions to my right to invest MY money.
I oppose restrictions to my right to invest in public investments.
I should not have to pass some arbitrary "test" in order to implement the investment strategies I think work best for myself and my family.
Opening up investments to everyone will lead to a more informed public and a more transparent investment environment.
Hello, I should be allowed to choose the investment of my choice. I am always provided a prospectus or information concerning the risks of investments. I use a small portion of my overall investment allocation to invest in inverse funds. It is not fair to consider any type of mandates, classes, additional education to invest in these funds.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high
You should be worried about Congress using insider information to enrich themselves. If the general population wants to risk THEIR money, its THEIR choice if you do this, the effort to make the rich richer while the poor have no hope will become obvious. Let them eat cake is a bad strategy
