FINRA has made technical amendments to Forms U4, U5 and BR that, among other things, reflect the FINRA name change and update the current list of SROs, government jurisdictions and registration categories listed on the Forms.
The online Forms will be updated with the changes described below on February 4, 2008.
Please let everyone have the opportunity to invest in the future not just wealthy individuals and financial institutions. Guidance is appreciated but control over opportunities to invest in our future and to make life changing gains is not. People learn best when making mistakes, Americans love challenges and we don't need anyone to cut off our financial opportunities allowing only the
I am strongly opposed to any regulation that would exclude anyone with a cash account from investing in complex financial instruments. This could lead to biases based on education level, race, beliefs, net worth, etc.
I believe that margin access could benefit from further scrutiny when used to purchase any financial instrument.
I am supportive of increasing awareness and additional education,
[REDACTED] I earn my money and I don't want to be told how I can invest it. The truth is that no one bothers to understand who you are, how to harm your career and your personal financial situation, etc. That can change. People need to fight back against their loss of financial freedom, freedom of speech, and the other freedoms our ancestors literally died so that we could have.
Leveraged and inverse funds provide investors with access to trading strategies that would otherwise be impossible to execute. The fact that these investment vehicles exist is the utmost proof that USA has one of the most, if not the most advanced financial markets in the world, and this standing has certainly helped attract trillions of funds over the years from around the globe to make the US
Limiting citizens ability to trade leveraged funds, commodity funds, REITs and various other financial instruments is a direct attack on the citizenry and should be unconditional. This would be a hindrance on financial freedom in what is a world where opportunities and social mobility is increasingly hard to find. As a broker and US citizen, I vehemently oppose such a rule and think those who
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
The investment domain needs to be played on a level playing field. I need to be able to choose the investments I believe will work best for me and my current financial situation. I do not want to go through any special process to be able to choose my investment allocations. The financial markets in the USA need to remain open to all Americans, not just the elites. Regulating these funds would be
Public Investments should be between the investor and the financial firm associated. The risks associated with investing are well known and explained by financial firms. Personal investments and retirement plans are controlled by the investor and investment retirement planners and critical to the investment success and well being of all. Based on Historical experience, especially lately,
I have been studying the financial markets for the last forty years. And use a measured approach in using leveraged ETFs. On highly liquid ETFs they are a very affective tool for investing and hedging positions.
Leveraged ETFs already carry warnings.
I don't appreciate further infringements on my right to make financial decisions.
I'm sure FINRA has plenty to do without
