To Regulators,
I staunchly oppose the proposed requirements to invest in leveraged ETFs and funds. I have invested in these funds for over 10 years and am fully aware of the risks. I am capable of reading the prospectus and understanding these risks. As a former financial advisor and principal, I have ALREADY passed a series of tests that prove my investment knowledge. However, even if I had
Imagine a new age of regulation in which compliance efforts were highly effective, and were also inexpensive. This seeming alchemy is coming to financial services in the form of new-generation “regtech.”
What is Gson? Gson is a Java Library widely used to convert Java Objects into their JSON representation and vice versa.
The following links should be helpful when filing online for your firm and associated individuals:CRD System and Related LinksElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)Filing Guidance Related to Registration FormsCurrent Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)Investment Adviser Representative (RA) Form Filing
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout
In the FINRA Dispute Resolution Services forum all prehearing conferences are held on the Zoom platform with video and, generally, hearings are held in person unless the Codes of Arbitration Procedure provide otherwise. Also, the parties may agree to, or the panel may grant a motion for, a prehearing conference or hearing to be held another way.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I am writing to state my opposition to any new rules (Notice #22-08) which would restrict my ability as an individual investor to use many of the investment products available, including leveraged and inverse investment products. I believe that the job of FINRA should be to assure us that the products are soundly constructed and to insure that the risks associated with their use are adequately
On behalf of our family and relatives we would like to state that leveraged and inverse funds are very important part of our investment portfolio. In particular we use leveraged inverse funds as Hedge against long positions in hi-tech Nasdaq stocks. By prohibiting or overly regulating Leveraged Inverse funds, or creating other barriers, you as regulator will take away our ability to protect our
