We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 2
No FINRA Proposed Rule you are not protecting the retail investors if you was helping you wouldn't let the market makers, hedge fund etc do what they want manipulation in the stock market.
TO: All NASD Members
The Securities and Exchange Commission has adopted the amendments proposed in March to its shareholder communications rules. The amendments, which specify the obligations of brokerage firms and issuers, stipulate:
• That issuers who request a list of nonobjecting security holders from one broker must request it from all brokers with customers who beneficially own the issuer
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4 of Schedule A to the FINRA By-Laws to: (1) revise the fee for the Regulatory Element of continuing education (“CE”); (2) establish the fee for individuals who elect to maintain their qualification following the termination
As an investor i understand risk and rewards associated with 3xleverege ETF as well inverse 3xleverege ETF .And I am totally against and rule imposed on small investor which will discourage investing.
Ive been free to invest however I choose. I am against a rule to prohibit my trading unless I comply with yet another government mandate protecting the small number of idiots out there
We are conducting a comprehensive self-evaluation and organizational improvement initiative called FINRA360. The objective of this effort, which CEO Robert Cook launched in early 2017, is to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
I do not want a regulator to mandate rules to prevent me from investing TQQQ, SQQQ or other leveraged funds. I am fully capable to decide how much I desire to put at risk.
Every individual should have easy access to publicly available investment vehicles. There can be a place for these types of investments in many portfolios and any proposed rules should support equal access.
