Please stop restricting investors from gaining access to ETFs with complex strategies including leverage and shorting sectors, stocks, commodities, etc. Increasing regulation just empowers the wealthy and financial organizations to be the only ones that can benefit from more diverse financial strategies which are needed especially now. I have built my retirement because of access to a broad range
Being that corporate America has a grasp on the stock market and can manipulate it and you as a politician can get insiders information as to what laws are passing and what PACs entice you where to vote by way of tempting gifts. Crypto is the way I can increase my financial future. I serious hope you consider how you vote as this is what many individual investors who found the benefit of
The freedom to invest in a variety of financial products is paramount for those choosing this as a profession. Diverse investing is how many people make a living.
As with any form of employment, some excel and others find through experience they prefer other options. Not having choice would be disruptive to many livelihoods.
Like other jobs people get better through practice and pay taxes on
Dear FINRA,
I dont believe it is your right to give financial directions to retail investors. Inverse funds are part of my investment strategy. Just like larger institutions and high net worth individuals, I use these to hedge. It would not be considered a fair market practice if I am cut out from these investments due to my net worth or experience level. Again, FINRA or any regulators are in no
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
Comments:Given that it's been banks and wall street that has crashed the stock market numerous times with their wild gambling and poor planning, even though they're supposedly sophisticated traders with lovely certificates attesting to the fact, perhaps you should tighten regulations on the financial giants and leaches in the system before you go after the small people. Have
It's my money and I should be able to invest it how I desire! All investments are at risk! Other instruments do not require such ridiculous proposed mandates which limits a U.S. citizen's ability to invest. This is a travesty to have government dictate who can invest in which instruments based on knowledge, wealth, and permission from his/her financial advisor. Please vote against this
The Anti-Money Laundering 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.
If short sellers can lower the price of a stock, they must be bound to honor the transaction. Through numerous holes in the system, short sellers are able, without serious legal or financial repercussions, to drag out settlement (apparently) indefinitely or avoid settlement altogether. Utilization of such settlement avoidance techniques is a violation of Federal law. That is, crimes -- a (RICO)
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