Again, regulators who do not know me AT ALL want to make serious, critical decisions about my financial needs/wants. WHY??? Please, let me decide what investments are right for me and make sure, continue to keep ALL public leveraged and inverse funds/investments available for everyone. Isn't is a good thing I want to be a secure, self-supporting, productive citizen of society? It benefits me
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Pandemic Regulatory Relief
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Dear Sirs, As a US citizen, I believe I have the right to choose my own investment for myself and my own family using any public investment vessels. This right should come with no further official regulation to decide if I am qualified in knowledge or risk taking since it's my own decision based on my own due diligence. In the past 20 years, Fed kept relaxing credits in order to save
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Good morning, and thank you, Professor [Reena] Aggarwal for that kind introduction and the invitation to join you today. Under your leadership, Georgetown’s Center for Financial Markets and Policy has come to be an important forum for discussing current policy and regulatory issues facing the global financial markets. We all owe you and your colleagues at the Center a
The FINRA Board, the National Adjudicatory Council, a Hearing Officer, or any other Adjudicator shall have full authority, except as otherwise provided by the Code, to rule on a procedural motion and any other procedural or administrative matter arising during the course of a proceeding conducted pursuant to the Code, subject to the rights of review or appeal provided by the Code.
June 6, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss senior and at-risk investors.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrooke Hickman, Director, Member SupervisionChristine Kieffer, Senior Director, Investor EducationKayte Toczylowski, Vice President, Member
April 24, 2023FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulation Best Interest.Speakers:Robert Cook, FINRA President and Chief Executive OfficerAndrew McElduff, Vice President, Member SupervisionNicole McCafferty, Vice President, Member SupervisionKayte Toczylowski, Vice President, Member
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
On October 21, 2019, FINRA announced the Small Firm Advisory Committee (SFAC) election for New York Region. Eligible small firms in the New York Region were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 20, 2019, and the newly elected SFAC member will take office in January 2020.
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