The Neutral Corner—Volume 1, 2020
Mission Statement
Office of Dispute Resolution and FINRA News
COVID-19 Notice to Parties and Arbitrators
Case Filings and Trends
2019 Arbitrator and Mediator Diversity Statistics
Removal of the Award Information Sheet from FINRA's Website
Register for the Portal
Portal How-to Videos
Rule Approval
Amendments to FINRA Rule 12000 Series to Expand
I am currently holding a position in an inverse leveraged stock. Personally, knowing how it works and understanding the risks. I do not believe I should lose my investment opportunities based on my privilege within the market, and financially. My overall opportunities as an investor and financially will become limited which I find unfair to myself as an investor.
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Life happens. Sometimes in the most jarring, unexpected ways that can impact your work life and your livelihood. And when it does, you want to work for a company with empathetic leadership, that has genuine concern for employees, and a culture of caring and adaptability.
Hi, I’m Sarah. In March 2020, I experienced firsthand, and at the highest level, that FINRA is that kind
it is unnecessary and a clear attempt to drive up costs for the investors by increasing dependence on paid financial consultants - you exist to serve the investors NOT those selling services. Please work at reducing regulatory burdens on investors and concentrate on keeping financial consultants and corporate Board members working for the investors and staying true to their fiduciary duties.
I'm A Working-Mid Class, Blue Collar Guy. My Financial Investment Opportunities Could Implicate The Generational Stability Of Family And Loved Ones Present And To Come. Don't Allow Financial Regulations To Adversely Impose On Such Longterm Ambition While Cushioning The Pot Toward The Benefit Of Others Situated To Fleece Multi-Billion Corporations And Enterprise.
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As of January 21, 1999, the following bonds were added to the Fixed
Pushing unregulated crypto to the masses is nothing short of racketeering. I am a risk professional. Your industry has ZERO creditability in this arena. These products are the only thing protecting retail investors from the FED fueled, financially engineered, derivatives death star. FINRA's attempt at regulation is an indictment on the financial systems lack risk management.
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
Please, do not restrict me from investing in certain investments that you think I am not smart enough to understand. These securities are a part of my retirement plan and will set me back 10-20 years if I can not invest in them. You are not my financial advisors, you do not know what is good for my financial health.
The current downturn in the stock market has hurt many investors. When bond yields were at historic lows in the past year, I continued purchases of 2x inverse 20 and 10 year treasury bond etf's, until they became 20% of my portfolio. This was my hedge against inflationary pressures, because higher p/e ratios cannot be maintained when bond yields rise. My 2X inverse bond holdings have now
