I strongly oppose the new regulations being considered by FINRA. As a private citizen I should not be restricted in how I choose to invest. I understand the risks I am taking in certain funds in which I choose to invest. I don't need regulators to "protect me" from myself. Leveraged and inverse funds are a measured and important part of my investment portfolio and I don't need
Remarks from the Investment Program Association Fall Conference
Corporate mergers and acquisitions can have a significant impact on the value of stock held by investors. But apart from the potential for sudden price changes for impacted shares, what else do investors need to know about mergers and acquisitions?
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
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
To Whom it May Concern,
I am totally opposed to the proposed regulations or any part of them that limit my ability as a small private investor to invest in Exchange Traded Funds. You are throwing away my primary ability to make money in the future. I do not understand your desire to regulate my ability to invest when there are many other investments that have equal or more risk. This is
Regulating my right to invest in public investments in any way is akin to the Jim Crow laws. My gains or losses in leveraged funds is not FINRA's concern. Brokerage houses do an excellent job at warning of the risks involved with investing as well as offering tools and educational resources. Private citizens, regardless of wealth or education, should NOT be impeded in ANY WAY from
