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.
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
Effective Tuesday, May 28, 2024, in accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project
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Executive Summary
The Financial Services Authority (FSA) in the United Kingdom (U.K.) has detected an increase in the frequency with which National Association of Securities Dealers, Inc. (NASD®) member firms have been soliciting U.K. citizens. In response to this activity, the
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.
During its May 17 and 18 meeting, the FINRA Board of Governors appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and appointed new members to FINRA Advisory Committees.
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.
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
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
