I invested in leverage ETFs for almost 4 years. I would not be able to reach my retirement goals without these products. I have already met all your proposed safeguards through Fidelitys control process, with the exception of a written test. Please have your legal team spend their time on more important issues. Your proposal is mostly redundant and an interference with innovation.
I understand that Benjamin Franklin started trading stocks in the early days of the republic. Investing in other people's ideas, products, innovations, designs is an essential freedom - though risky it might be - for citizens of this land. Do not meddle with it, thinking we need protection from risk. This tendency to regulate and socially engineer everything will collapse-in on itself and
The FINRA Foundation has retired the Moneytopia game and tutorials, as the underlying Flash Player technology is no longer supported by Adobe. Try out other FINRA investor education tools and resources, including a series of mini-modules on investing.
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Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Federal Reserve Board Regulation T
FINRA Rule 4210
FINRA Rule 4230
FINRA Rule 4521
FINRA Rule 4524
SEA Rule 15c3-1
SEA Rule 15c3-3
SEA Rule 17a-5
Regulation SHO
Suggested Routing
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Legal
Margin Department
Operations
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
September 2021 marked the sixth anniversary of FINRA’s annual Createathon event, under the theme, “Powered by People.” For three days, teams of staff collaborated across business and technology to innovate. Among the many game-changing solutions created was Xpand Reality, an augmented reality simulation web and mobile app for investor education. The story of the app’s key features,
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Dear Madam/Sir,
Restricting the participation of investors is longer a viable,wise or justifiable as we are experiencing the greatest participation in the history of the markets. Along with this participation we are seeing the knowledge base of the small investor increase exponentially. This is exactly what we need, can only happen organically and will lead to more stable and liquid markets where
SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
Dear FINRA Regulators, I am opposed to the use of regulation that applies to only some classes of investors, but not others. For too long, the big investors have always had tools that they can use to navigate, or even manipulate, the market place, while the small investors are left without these tools. A market place with unequal access is not fair and is more easily manipulated by the small
