Regulating plans such as pensions and retirement plans (401k, 403b, etc), where the saver/investor has little to no input on how the fiduciary treats their money is wise.
REMOVING ACCESS TO VALUABLE INVESTMENT TOOLS FOR THE INDIVUAL INVESTOR, MAKING THEIR OWN DECISIONS, IS NOT.
Please do not make it harder for me and my family to invest our assets in a way that meets our needs!
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
Summary
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.
All questions regarding
I strongly urge the FINRA regulators to drop plans to restrict the use of leveraged or inverse funds. I am perfectly able to read the prospectuses and calculate the risks associated with them. There is no need to require any testing to see if investors understand how they work. These funds are very important to my long term investment planning and help me to protect my capital during periods
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
Please keep leveraged funds available to all investors.
I run a systematic quarterly rebalancing plan that is powered by leveraged ETFs. I know what I am doing. The proper use of these leveraged products is a key part of my financial plan.
If leveraged funds are restricted to accredited or wealthy investors only, the wealth gap in the country will increase as the rich get richer in sophisticated
Dear FINRA Regulators
In a period of history when Federal regulators threaten everything in the Bill of Rights, You now plan to restrict one of the few ways left to counter the massive inflation Congressional overspending has caused. Give private investors credit for having more financial literacy than most members of Congress and the white house. If you think the Overreach of Federal authority
Stop moving forward with trying to regulate my right to access and invest in the entire public securities market. We should not have arbitrary restrictions imposed on us. I am capable of understanding leveraged and inverse funds and their risks.Public investments should be available to all the public, not just the privileged. My father was very intelligent and started the investment plan for our
The Liquidity Risk Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
