The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is highlighting a statement released today by President Biden regarding possible threats to our nation’s cyber security, urging private sector companies to remain vigilant and harden their cyber defenses "immediately" based on "evolving intelligence that the Russian
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is publishing for comment an amendment to Schedule E to the NASD By-Laws that would exempt a qualified independent underwriter from the pricing requirements of Section
I as a individual investor should be able to invest in leveraged or inverse funds at my own risk without being tested or regulated. It is up to me to understand and use these types of public securities just like any other public or private investment available.
Eric Scharfe.
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than
I have a private individual broker for my investments because I wanted control over what my money is invested in, stop regulating and controlling free Americans. I think most people are likely to understand risk that are intelligent enough to have an ID that is required to open an account.
I oppose the proposed restrictions on leveraged and inverse funds. I am already an accredited investor and my use of leveraged funds make up only a tiny portion of my net worth. I understand the risks and see no reason to restrict access to these and other products. They are already inherently less risky than other readily available products like options, crypto, certain poorly run private
FINRA has no business or right to regulate or limit the products in which private investors place funds. I understand and accept the risks of my investments in all types of funds. They are my funds to invest, not yours. An investment prospectus is sufficient to inform investors of the objectives and risks of any investment. Attempting to regulate who can and cannot invest in any fund, based on an
Dear FINRA,
I've heard and am very concerned about the potential new regulations restricting access to leveraged and inverse mutual funds and ETFs.
It is very important for the US regulators to allow free and fair access to creative investment products in a publicly available format. In fact, there have been many private investment vehicles (hedge funds, private equity, venture capital
Just who the heck appointed you to decide what risks I take with my money and my investments? Stand down and let people be free to decide for themselves all things in their private lives and go be a Karen to your neighbors or something. Nuff said, you get the point!
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