I oppose the proposed regulation of leveraged and other complex products. This framework is not clear nor workable. What makes one fund complex while others are not? Why impose an arbitrary standard when arguably the majority of the public investing in index funds does not thoroughly understand what an index fund is or how it actually operates?
The onus has always been on the investor to educate
This preposterous regulatory proposal is infuriatingly ill-conceived. It's both insulting to my decades of investing knowledge, and detrimental to my investment strategy. The notion that FINRA will categorically restrict my financial freedoms, especially given my successful use of leveraged investment products for over a decade, smacks of naivete, and a completely wrong-headed
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Last Voting Date: December 31, 1993
SUGGESTED ROUTING
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Executive Summary
The NASD invites members to vote on an amendment to Article III, Section 35(c) of the Rules of Fair Practice that would require a member using mutual fund rankings in advertisements or sales literature to
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged like hedge fund institutions. I understand a financial risk with these funds and know the consequences of covering the losses. You should not be the judge of imposing conditional regulations on each individual investors. When
<p>Rule 2740 would not prohibit an underwriter in a fixed price offering from paying to another broker/dealer that is unable to participate in the underwriting syndicate an advisory fee or a referral fee to the extent that such payment does not directly or indirectly discount the fixed offering price for any purchaser in the offering.</p>
Please reject this proposal to hamper the ability for individuals to freely invest in the market based on their own decisions about risk and reward. No investor has asked for guardrails to be put up around these products. In fact, it only seeks to further limit the free market instead of truly protect people. Requiring a certain net worth or level of investment to qualify for purchase of an
I strongly oppose any restrictions on my right to invest in public investments. I believe it is my right to make investment decisions that are right for me and my family without regulators getting involved in those investment decisions. I know what is best for me, and I believe it is very presumptuous to assume a regulator is more concerned about my well-being and investment decisions than I am
FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. We also provide tools and calculators to help you make informed financial decisions.
I am sick and tired of government officials trying to protect me from myself. I am fed up with people who think they know what's best for me and want to force it on me regardless of what I think about the matter. The price of freedom is responsibility. I will gladly pay that price. For what is worth I have a finance degree. Have passed securities licensing in a prior career, and
