(a) A member shall process and forward promptly all information as required by this Rule and applicable SEC rules regarding a security to the beneficial owner (or the beneficial owner's designated investment adviser) if the member carries the account in which the security is held for the beneficial owner and the security is registered in a name other than the name of the beneficial owner.
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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.
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.
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.
FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Why should the government be my baby sitter and control my financial status in life. I take the chances financially but now they want money to qualify me if I dont give them money and spend more money to be qualified. See the logic in this. If I go broke its my money, see that logic. My money leave me alone
<p>Member firms may pay retired registered representatives continuing commissions based on contributions to accounts established by the former representatives prior to retirement, provided the conditions of NASD IM-2420-2 are satisfied, and further, that such payments are made in compliance with SEC "no-action" letters addressing the permissibility of those payments under Section 15(a) of the Securities Exchange Act of 1934. Firms cannot pay retired registered representatives commissions based on activity in accounts established after the representatives' retirement.</p>
This is an unconscionable intrusion into my financial life. How dare you assume I'm too stupid to understand or that I don't know how to manage my own money.
If there is something innately wrong with these financial instruments, then outlaw them for everyone. Otherwise, if they're legal instruments, it's my business and mine alone whether or not to invest in
A license to sell leveraged ETFs, and specifically inverse ETF's, is a license to steal. Period. It should be a requirement that any designed financial instrument show in the prospectus how an investor may actually make money not just the risks of loosing it. Take TVIX, a long term chart shows in 2011 the price was 2,235,849,984, today its value is $112 dollars. A loosing investment start to
