Proposed Rule Change to Revise the Series 4 Examination Program
Please stop imposing unwanted and unnecessary rules on us. Please allow us to buy what we want rather than what you decide
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to provide for the payment of a $200 honorarium per case for each arbitrator who considers contested motions for the issuance of subpoenas.
On May 14, 2018, amendments to FINRA Rule 2232 will take effect, which require a member firm to disclose on the customer confirmation the amount of mark-up or mark-down it applies for certain trades with retail customers in corporate or agency debt securities. Disclosed mark-ups must be calculated consistent with existing Rule 2121. With regard to the client confirmation requirements and
Proposed Rule change to Amend the Discovery Guide and to Make
Other Conforming Changes to Rules in the Arbitration Codes
The FINRA Proposed Rule #22-08 suggests limiting investors rights. Big Government needs to stop interfering with investors' rights. Stop over-regulating every thing.
Comments: Inverse and leveraged ETFs are far safer than trading options. Please recommend to FINRA to leave the rules are they currently are (May 2022). Thank you.
This proposed rule is absurd. Let Americans make their own investment decisions without special credentials. We know the risks when we make investments!
Comments: I have traded leveraged and inverse products for 28 years using defined rules and active management. They allow me to enhance my trading gains.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the By-Laws of FINRA Regulation, Inc. (“FINRA Regulation”), FINRA’s regulatory subsidiary, to further align the grounds for member removal from the National Adjudicatory Council (“NAC”) with an existing provision in the FINRA By-Laws
