INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
I am alarmed and disturbed by the prospect of FINRA regulating investments by blocking or impeding investors' access to them.
Hedging and leveraging with exchange-traded funds are cornerstones of my personal investment strategy. I can't afford to and don't want to invest in the futures market directly, and I don't think options offer a good risk-reward profile
FINRA:
I strongly object to the proposed FINRA regulatory notice 22-08.
The proposed measure is quite simply just another example of arrogant governmental agency overreach hatched under the disingenuous guise of protecting the consumer/investor.
Investor rights and abilities to buy/sell whichever public securities they may choose, whenever they choose, must be preserved without interference or
I strongly oppose regulators determining which investments are the correct ones for me and my family.
Our industry needs to focus more time and effort on educating the general public and engaging with younger demographics K-12 students to help develop financial literacy programs at a younger age.
Investments should be available to everyone, not just the wealthy or privileged. If regulators are
Individual investors are more educated and have more educational resources than ever. I dont see that there is a need to limit individual investors in a way that is a step back for flexibility and individual choice. Limiting individuals in a significant manner as proposed simply creates a potential monopoly for registered financial advisors to offer services that an individual simply cant have
Individual investors did not blow up the economy in 2008 with the use of leveraged investments they didn't understand, over-leveraged financial institutions (and the credit agencies that bodies like FINRA failed to regulate) did. Are you planning on prohibiting those same financial institutions from using leveraged investment or are you going to once again bend retail over in the guise of
Summary
In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Combined Uniform Single (FOCUS) reporting and annual report requirements that apply to brokers and dealers pursuant to SEA Rule 17a-52 to take account of security-based swap (SBS) activity. Further, as a result of these changes, to
A registered representative presently licensed with a member providing telemarketing services, under certain conditions, would not be required to also be registered with a client member.
I think the current system of allowing financial institutions to transfer their short positions is highly ineffective and damaging to the stock market as a whole and must be stopped. If parties involved in shorting companies cannot cover their positions after failing to deliver in the already existing time periods and have passed the fail to deliver threshold list requirements I think they should
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
