Dear regulators,
I should be able to choose publicly available investments that are right for me and my family. This filling is an over reach. Ordinary Investors like myself and others are much more sophisticated, informed, educated, and savvy than previous generations. With the the prevalence of Fintech platforms and the Internet financial education has never been easier to obtain, and reliance
I strongly oppose the proposed legislation to limit individuals from investing in so called complex securities. I have the right to choose how I spend my time and money and I disagree with efforts to ban me from products I have already purchased after significant research and time. I buy leveraged funds as a way to mitigate my overall risk while pursuing higher returns. Leveraged funds allow me
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Trading
Executive Summary
On May 5, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Interpretation of the Board of Governors—Forwarding of Proxy and Other Materials under Article III, Section 1 of the NASD® Rules of Fair Practice1 (Interpretation). The
My primary concern with this notice is the following statement: "whether the current regulatory framework, which was adopted at a time when the majority of individuals accessed financial products through financial professionals, rather than through self-directed platforms, is appropriately tailored to address current concerns raised by complex products and options." The concern is that
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the fourth quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 3, 2020. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 2, 2020
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
Comments: I would be against limiting access to the leveraged indexes. These provide both diversity for small investors, while providing outsized returns at a lower cost than mutual funds. The TQQQ grew from $19 in March 2020 to $200 by Jan 2021 before a 2/1 split. It was up 1200% from Sept 2016 to Sept 2021. If FINRA is really looking out for investors, how is limiting such returns in the
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
In securities transactions, whether in "listed" or "unlisted" securities, if a member buys for his own account from his customer, or sells for his own account to his customer, he shall buy or sell at a price which is fair, taking into consideration all relevant circumstances, including market conditions with respect to such security at the time of the transaction, the expense
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@claims-finra.org.” The domain of “claims-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.
