I oppose the proposed rule as I believe it is over reaching and unnecessary. Leveraged and inverse funds are not that complex. Betting at the horse races and on sports teams would be a better target for regulation. And inverse and leveraged funds offer an important option for investors when conditions warrant the risk. I would hate to see complex rules and restrictions placed on this investment
SR-FINRA-2008-018 - Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations
I've been an individual investor since 1999, and this new rule called "Reproposal of Amendments to Rule 15c2-11", if that is the reproposal in question? Well it's blatantly discriminatory since it requires a certain net worth in order to quality for equal access to all investment options. That's also known as income discrimination. As such, I strongly
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Thank you for considering my comments on Proposed Rule #22-08. I oppose Proposed Rule #22-08 because these restrictions discourage smaller individual investors seeking a level playing field with larger "players" in the markets. The risks associated with these securities are not difficult to understand or evaluate for responsible individuals. Investors should have the
I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
When did it become appropriate to act as a nursemaid to grown-up investors?
Evermore rules and regulations are the lifeblood of the bureaucratic / political world. Little do they know or care that these rules and regulations lead to a less robust economy based on free enterprise and unfettered competion.
We do not appreciate the nanny state trying to "protect" us from
