Ive been recently informed of you trying to impose regulations & restrictions disqualifying normal people/investors from investing into crypto funds. I wanted to express my concern to everyone involved in hurting my portfolio & stopping me from investing into crypto funds such as BITO. I myself should be able to choose my own investments which are right for me, I take financial
Investing is a personal right and should not be regulated away from private individuals. The things you should be regulating and/or stopping is the back-door dealings the elected officials are allowed, by turning a blind eye. In turn allowing them to make millions from these dealings while in and after leaving public office!
FINRA Rule 1017 requires member firms file a Continuing Membership Application (CMA) with FINRA's Membership Application Program (MAP) Group prior to implementing any material changes to the firm.
April 2003
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Notice of FINRA District Committee Election and Ballots
I was under the impression that government's financial regulations were put in place to protect the public. I trying don't understand who FINRA is protecting by creating these regulations because it's definitely not me, the average net worth financial investor/consumer. From what I've seen so far, these regs will only make it substantially more difficult on
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Comments: As part of a long-term, diversified portfolio, a minor portion of my holdings lie in leveraged ETFs. The largest risk associated with these leveraged funds equates to nothing more than simple mathematics. An additional risk, which has already proven true in the past for other financial tools, is the prohibition of the common investor and trader from the use of these instruments.
I am
The Reg BI and Form CRS section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
