The American public is capable of making their own decisions, carefully researching their choices, and taking appropriate action. As such, Americans do not need their financial to be controlled by regulators. Limiting the right of citizens to determine their financial future is elitist and an infringement on the liberty and freedoms upon which our nation has built its reputation.
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The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
I am perfectly capable of assessing the risk of investment options, choosing which investments to include in my 401K, and accepting the financial consequences - beneficial or detrimental - of my investment decisions. I do not need or want government regulatory guidance or restrictions on my investment options. Please stay out of my financial opportunities and decisions.
Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It’s nice to see so many familiar faces here today.
1. The most neglected field in investor education is equity market manipulation. New retail investors should be informed about perpetual option fail-to-delivers, married-puts, shorting via exchange-traded-funds, off-exchange trading and selling synthetic shares to manipulate a stock's price. 2. From a retail investor's perspective: An open forum where individual users can share investor
I have been a Financial Advisor for 12 years and a day trader for the last 3 years. I understand that the PDT rule was put in place to help limit the risk of loss for individual investors however I do not believe it accomplishes that. Most brokerage houses will allow 4X margin to be applied to a brokerage account for investing/trading. By requiring $25,000 minimum equity to be a day trader this
Talking about money issues can be stressful. Talking about them while a service member is deployed to a remote location can be more so.
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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 to reopen the period by which certain participants in the Maintaining Qualifications Program will be able to complete their prescribed 2022 and 2023 continuing education content.
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.
