As long as the investment and brokers involved outline the risks, that is all the SEC should demand. Freedom for investment key to capitalistic system and should also include all International investments including China whom we must compete with and not restrict- restriction produces artificial competition which never works and only weakens our country!
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
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.
Hello: I believe that I, as a retail investor, should be able to choose my investments. All of the market is risk/reward; this seems a slippery slope. Here is how I use leveraged funds: I rebalance quarterly using a safe bond fund, selling the excess and buying the shortfall (See Jason Kelly's 3 sig. System). Sincerely, Dr. Saul Cohn
I do not support these changes. I should not need approval from my bank to make an investment. These rules are ridiculous! I consult with a financial advisor from a well known institution. These investment tools are risky, but I feel they are unique and productive. They are made up of reputable companies. Regulators should be more concerned about crypto. A real pyramid system.
From 8:00 am until approximately 8:02 am EST FINRA encountered a system issue which delayed the start of trade reporting. Firms that submitted transactions during this timeframe that received a “Trading not allowed” reject message must resubmit their transactions if they have not already done so. The issue has since been resolved and ORF trade reporting is operating normally.
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
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PART I
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
The FINRA New Issue Form will be unavailable from 7 AM ET Saturday, March 27, 2021 until 7 PM ET Sunday, March 28, 2021, while the system undergoes scheduled maintenance.
Please contact FINRA Market Operations at 866-776-0800, Option 2 if you have questions regarding this notice.
