ENFORCE YOUR RULES. These rules don't mean anything if they're not enforced. And I'm not talking about giving Robinhood a 70m lawsuit, that's just the cost of doing business. The penalties need to be crippling to ensure that the rules are followed. Reduce the reporting period to daily. We live in the digital age, there is absolutely NO reason that this information isn't
(a) Definition of Bond Mutual Fund Volatility Ratings
For purposes of this Rule and any interpretation thereof, the term "bond mutual fund volatility rating" is a description issued by an independent third party relating to the sensitivity of the net asset value of a portfolio of an open-end management investment company that invests in debt securities to changes in market
Under Rule 2710, a broker/dealer may pay finder's fees to a joint venture for the referral of issuers that are potential corporate finance clients. If the joint venture is not required to be registered as a broker/dealer, such payments would not violate Rule 2420.
Increased levels of regulation (and individual restrictions) of personal finances and investments may seem like the correct answer to protect consumers in today's landscape.
Unfortunately, many well-meaning (but overreaching) restrictions will be pursued. While not apparent at first, these regulations and restrictions will certainly have the opposite of their intended effect.
Regulators
I think the individual should have the opportunity to make whatever Investments he or she chooses is appropriate. The regulator shouldn't tell him what the individual can and can't do. If there is fraud involved, that's a different matter. But if the individual would like to use a leverage long or inverse product, he should have the right to do so. But I do think that
To whom it may concern -- I am a fairly knowledgeable investor who looks to maximize my returns utilizing levered funds. I know the risks that go along with my investments and accept those. I do not see where FINRA ought to be involved in creating a nanny-state mentality to protect investors. There are more than enough regulations in the financial sector to cover investors. Additional regulation
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
Member Firm Disclosure and Supervisory Review Obligations; Effective Date: April 7, 2008
FINRA 21-19 represents a ground shaking step towards improving the transparency and ultimately the freedom of the United States' market. Up until now, FINRA's archaic short interest reporting standards have facilitated exploitative and irresponsible market practices that threaten both free competition and the stability of the market. Recognizing the abuse behind intransparent reporting
Entities which are found to be breaking the law need to be punished for doing so. Failing to respond to the actions of malicious actors leads to instability in the system, an imbalance of power when there should not be one, and a loss of trust in the viability of the system itself. The punishments must be sufficient to discourage future attempts and breaking the law. If breaking the law and
