SummaryFINRA will conduct its Annual Meeting of firms on Monday, August 18, 2025, at 9:00 a.m. Eastern Time at FINRA’s Washington, D.C., office (1700 K Street, NW, Washington, D.C.) for the purpose of electing one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1As a self-regulatory organization, FINRA is committed to deep engagement
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Do not pass more regulations. I am perfectly capable of understanding risk products including leveraged funds. I do not need FINRA Nanny State regulations nor do you have any constitutional authority to regulate the private individuals investing in the markets. The constitution guarantees my personal LIBERTY, which means my personal property is off bounds to FINRA. Back off or there will be
Government regulators must not impose arbitrary restrictions on private investors.
Many capital investments carry risk. Leveraged and inverse funds are central to my investment strategies, and I do not need -- nor will I appreciate -- interference with my basic right to purchase, hold, and trade them.
There is no legally-coherent or ethically-defensible rationale for adding additional
As a small private investor, I am well aware of risks associated with the various vehicles available on the markets, including inverse funds and leveraged funds. While not core, these are tools that sometimes make sense, and they should not be placed behind barriers that inhibit or even prohibit my access to them. I do not require and do not welcome regulations that block my ability to implement
To Whom it is concerned.
I oppose any further restrictions on leveraged, inverse, volatility, foreign market, or other non-traditional investment ETF, mutual fund or similar investment vehicles. As a private investor, I have the ability to read the currently required prospectuses and investment disclosures for public investments. I do not need hand holding or further government intervention or
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
FINRA is soliciting comment on a concept proposal to establish liquidity risk management requirements. The concept proposal describes a potential rule, labeled Rule 4610, that is intended to ensure that members have sufficient liquid assets to meet their funding needs in both normal and stressed conditions. Broadly, the proposal outlines three areas where a potential rule might address liquidity risk, including liquidity stress testing, contingent funding plans and a requirement to maintain sufficient liquidity on a current basis at all times. FINRA is issuing this concept proposal so that any feedback received can be taken into account as FINRA considers a proposed rule; any proposed rule would need to be reviewed and approved by the FINRA Board of Governors, and then filed with and approved by the Securities and Exchange Commission. FINRA welcomes comment on all aspects of the concept proposal, including comment on alternatives to the proposed approach.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a capital acquisition
