I should be able to choose public investments that I feel are right for me and my family, not some government agency. This in my opinion is a government over reach. It appears that every day the government tries to usurp American citizens rights and indoctrinate each and every American citizen. This is supposed to be a free country. Let's keep it that way. i'm truly tired of
I have been investing using leveraged funds, inverse funds, options contracts and futures for 30 years.
The only time I lost money was when regulators changed rules on my trades.
STAY OUT OF MY MONEY AND LET ME MANAGE IT WITHOUT CONSTANTLY CHANGING RULES!!!
Enough with the paternalistic overreach. Adults should be free to invest the money they have legally earned without regard to class. Having to pass a test to spend your own money is outrageous. Promulgating rules that disadvantage people of lesser means is disgraceful and un-American. This rule change should be rejected.
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
As a result of a recent review of gift and gratuity practices of over 40 member firms, NASD staff is concerned that members may not be fulfilling their obligations to comply with, and establish adequate supervisory systems and procedures reasonably designed to achieve compliance with, NASD’s rule governing gifts and gratuities – Conduct Rule 3060 (the “gift rule”). Rule 3060 prohibits
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br/></p>
This REEKS of corruption by the FINRA!!! There is no one out there that FULLY understands every aspect of the stock market, Doctorates (multiple) or none. The market is simple principals that work either on an ETF or common stock. There is not a single stock that is 100% guaranteed to make a profit, some are much more riskier than others. The FINRA should not be Wall Street’s thug enforcer, but
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
Many firms will from time to time seek to expand their business by, for example, adding a new line of business or substantially increasing the scope and size of their existing business that may or may not require a Continuing Membership Application (CMA) for FINRA's approval.
When contemplating a change to its business activities or operations, a firm should think about whether the proposed
