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
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" (QEQ System) for purposes of certain SEC Penny Stock Disclosure Rules that became
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
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
For Your Information
Financial Payments
On Monday, June 25, 2001, NASD Regulation implemented new addresses for all financial payments—including payments to CRD/IARD. The new P.O. Box will facilitate more timely automated processing of payments and is the primary address to which your firm sends all checks/payments via regular delivery. Please note that the P.O. Box for regular delivery
This is ridiculous these financial regulations are even being considered. I should be able to choose my own investments. Not enough people are taking advantage of these investment options already, not enough people are prepared for retirement, and you just want to make it harder. Its like you want the wealth gap to grow even more.
These literacy tests remind me of those required to vote and we
Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575), according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA).
Regarding tentative changes to investors using or thinking of utilizing leveraged or inverse funds, I humbly request that FINRA leave things as they are and not impose regulations barring use of these funds to "retail" investors. Many of us have over the years developed and employed said financial instruments in strategies developed by ourselves, all with the understanding of
