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,
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
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
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
A vibrant and efficient capital-raising process fosters business expansion, job creation, innovation and economic growth. FINRA members play a critical role in facilitating capital formation for businesses of all sizes. FINRA supports the capital-raising process through appropriately tailored rules for its members that are designed for the benefit of all market participants.
Summary
Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party vendors, including any sub-
I have managed my portfolio myself and have outperformed the market for 2022 I have done this in no small part to the downside protection offered by inverse ETFs. They allow the average investor to take short action in the market without the necessary headache of a margin account. Attempts to restrict this are misguided and will only hurt the smaller investors they intend to help. Inverse ETFs
I'm offended by the arrogant supposition that investors are somehow incapable of managing their investment risk and trading, investment, and hedging strategies. Leveraged and inverse funds are valuable and innovative tools that actually allow prudent investors to decrease/manage risk and improve tax efficiency. Any regulatory attempts to restrict the availability and utility of these
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Rule Modernization Project
Response Period Expires on: March 1, 2002
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1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is
