January 2008
FINRA is conducting a review of the policies, procedures and controls with respect to information barriers. To facilitate this review, FINRA requests a copy of the following information and/or documentation:
Organizational charts for the firm's investment banking department (or equivalent department, i.e. financial advisory department) and compliance
I wish to maintain my right to be able to choose the public
investments that are right for my family. Public investments should be available to all of the public,not just the privileged.
I am an experienced in investment and especially high risk start-up or early stage business opportunities. I have a deep understanding of the techno industries and processes, many of which are embedded in early
The current price manipulation with AMC/GME et al has exposed the stock market corruption. All reporting agencies and SEC rules don’t make a difference in protecting the big money from the everyday average trader. It seems to me that the rules only apply to the small investor and protect big money instead. It’s all an incestuous relationship between the SEC, FINRA, DTCC and the like and the big
I am fully capable of assessing risks of inverse and leveraged funds. I've used them for years. I have over 35,000 followers on social media, and I help to educate them regularly.
I believe you could inform the public of risks through "warning label-like" statements such as giving examples of how one can rapidly lose money using a leverage fund while the market is
INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees, the District Nominating Committees and the
National Adjudicatory Council (NAC). The
Here we go again. Try to make it look like you are just trying to protect us since we can't possibly be smart enough to evaluate the funds. Thank goodness that the government and Wall street are here to save us. This is just a method to control the market. It has nothing to do with protecting individual investors. Why are you so concerned about funds but we can gamble as much as we
I have been an investor for more then 40 years and own all types of risk assets including stock and bond ETFs, mutual funds, individual equities in every industry, highly risky and rarely successful option trades and leverages and short funds.
I have had more success trading short or leveraged funds then options. Even a seasoned investor like myself looses money regularly with options. Short
Dear FINRA Regulators,
In a free country, is it not the people, rather than unelected regulators, who get to decide what to do with their own money? That's what living in a free country is all about: individual liberty AND personal responsibility. In the market place, this plays out as the opportunity for reward and the possibility of risk. Virtually every trader knows that they may lose
Dear FINRA,
I am writing today to express my disappointment that you are considering regulations limiting my publicly available investment options. Only through a wide and diverse array of investment options can a diverse and balanced portfolio be maintained. As an investor in the market today, just as in 2008-2009, maintaining a hedge against extreme volatility is an important and needed aspect
Dear FINRA Regulator,
I am retired and derive much of my income from investments. I prefer to make long term investments but have no desire to make complex individual futures trades myself to protect my long term investments during times of exceptional volatility. I do, however, like to utilize inverse funds and leveraged inverse funds to minimize my downside risk when market volatility gets
