Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
In light of the recent boom in private and boutique investments, I completely understand the benevolent spirit with which FINRA is attempting to protect small investors from themselves. Leveraged and inverse funds pose a risk hardly understood by everyone with a Robinhood or a TD account. However, those of us laypeople who receive investment advising and learn from friends, family, and literature
Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
I am a private investor with over 30 years of investing experience. My portfolio consists of individual companies, ETFs of various sorts and mutual funds providing a comfortable level diversity. I understand the need for investors with limited experience not to have access to leveraged funds as well as option training without some level of training so they understand the associated risks. I would
I wish to tell you in the strongest possible way that I am absolutely apposed to the government telling me or my family how to invest my hard earned money in public investments, especially inverse public securities. I have used inverse funds for years to protect my portfolio against major downturns like we are experiencing right now in the market. They are an important hedge against irrational
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
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-
I am opposed to Rule #22-08. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I should not have to demonstrate an net worth arbitrarily set nor be required to obtain broker permission to invest. I should not have to take a test to invest in public securities
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
