I strongly believe I should be able to choose the public investments that are right for me.
Public investments should be available to all of the public, not just the privileged. Additionally, I should not have to take a test to enjoy the opportunity to invest.
Rule Effective April 21, 1999
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The Nanny State should stay out of telling investors how to invest. Look how brilliant it has been in controlling inflation, actually by bringing it on. (And soon to bring on recession by it's policies.) No test, no restrictions!
People shouldn't have to go through any special process like passing a test before you can invest in public securities, and public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds for myself or my family. I am perfectly capable.
Restricting individual right to invest in funds or any legal investment is not in the best interest of American citizens. Requiring a test of some sort or sign off on the risk involved would be a better option to address these concerns.
I oppose restrictions to my right to invest. Public investments should be available to all the public-not just the wealthy. I believe that investors of this area are able to understand leveraged and inverse funds and their risks without taking a test.
This report continues FINRA’s efforts to share information that can help brokerdealer firms further develop their cybersecurity programs. Firms routinely identify cybersecurity as one of their primary operational risks. Similarly, FINRA continues to see problematic cybersecurity practices in its examination and risk monitoring program. This report presents FINRA’s observations regarding effective
As prepared for delivery.
Good morning. First let me thank Martin Baily for the invitation to talk with you this morning. Martin, I also want to commend you for the work you do here in Washington to bring about a greater understanding of business and the economy and, specifically of financial regulation.
It’s a pleasure to be here today to participate in this important discussion on the role of
(a) Notice of Initiation of Summary Proceedings
FINRA's Chief Executive Officer or such other senior officer as the Chief Executive Officer may designate may provide written authorization to FINRA staff to issue on a case-by-case basis a written notice that summarily:
(1) suspends a member, person associated with a member or person subject to FINRA's jurisdiction who has been
