The elevation of chosen investors, creating the “accredited investor” designation that can be achieved solely on the measure of a one's wealth or income was an egregious, unmistakable step toward oligarchy. With existing rules already in place, governmental agencies are now using a wealth/income-based designation to reserve high-risk, high-reward investment opportunities and products for
You have made this notice complex. I only agree with giving the investor more information 2c. If you want to regulate something make Companies that issue a K-1 to shareholders be required to use a stock symbol ending in K.
Please quit trying to save me from myself. You've already placed more than enough restrictions on the small investor to put him at a significant disadvantage.
As Shareholders of this type of investment, we take our risks under no pressure to buy or own the leverage and inverse fund. I'm concerned about the special process or regulation, if it ever becomes the reality, it restricts our choice or the freedom to strategize our investment. Given the fact that the specific ETF, a high leverage investment type is high risk and we accepted it. If
I oppose restrictions on the right to invest in public investments. Please let me choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged few. I understand the risks and complete loss of principal of these investments. I shouldn't have to go through any special process like passing a test before I
In observance of Presidents’ Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, February 21, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications,
Summary
FINRA has adopted amendments to Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) place a hold on a securities transaction (in addition to the already-permitted hold on a disbursement of funds or securities) where there is a reasonable belief of financial exploitation; and (2) extend a temporary hold on a disbursement or transaction for an additional
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites from 11 p.m. ET Thursday, February 10, 2022, to 12 a.m. ET Friday, February 11, 2022. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
