February 28, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision staff to discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerGreg Ruppert, Executive Vice President, Member SupervisionKayte Toczylowski, Vice President,
February 24, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss the 2021 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerThomas Mellett, Senior Director, ExaminationsSteven Polansky, Senior Director, Member
January 12, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision senior staff to discuss the 2023 Report on FINRA’s Examination and Risk Monitoring Program. Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Vice President, Member Supervision Regulatory Advisor and
Limiting the options for individuals to invest in public investments, which any sort of investment, whether its a security, ETF, CD, stock, fund, note, trust, etc, whether its complex, or not is not justified. Simple investments would still have a risk, irregardless of banning and limiting certain individuals to be involved in any sort of investments.
Any sort of investment, simple, or complex
Stop being big brother. I am happy to take a test demonstrating my knowledge of the product and risks I am exposing myself to. We have no access to private equity and other investment vehicles that have performed in the past. Why cant you give us access to the same opportunities wealthier people have? Stop denying opportunities to make and lose money!
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
There are currently many attractive, high return products in private markets that are not made accessible to public market investors. Further limiting trading of complex securities makes these unfair advantages even greater. I believe it is important to recognize and accept the associated risks, but regulators should not prohibit investment in such securities.
I currently use leveraged
I find it offensive that a regulatory agency wants to curtail the private financial investment choices of adult citizens, under the guise of "protecting" us.
Free markets work best when they are truly FREE. I am perfectly capable of reading the prospectus and understanding the risks of my investment decisions. If a person does not understand those risks, then the prudent move
Non-accredited investors are already discriminated against through exclusion from private equity and initial series of funding for new start-ups. FINRA protection from risk/profit is not helping, it is hurting small investors. Taking away small investorss ability to utilize leveraged or inverse ETFs prevents them from any chance of hedging. It is criminal and discriminatory. I have had enough of
The interfering in the right of private individuals to choose personal investment strategies is absolutely insane and communistic in principal. There is no way individuals should need a body of extraordinary unrelated persons to over manage how a person or family applies it's funds. I earned the money by my education and by hard work and I take the risk and the profits. It is no one else
