Transparency, Equality, Fairness, Expediency, and RULE enforcement All of these qualities MUST exist in a FAIR and OPEN marketplace.
I only have 1 comment. The SEC looks like a joke around the world. The rules are clearly not being applied.
Exemptive relief is granted based on the following considerations: (1) the Contribution was made nine months after Name last held a position which would have resulted in his designation as an MFP; (2) since becoming a Title of Company C, Name continues to be designated an MFP only because of the Rule’s two-year “look back” provision; (3) at the time Name was a member of the Firm X Board, Name had no personal day-to-day involvement in Firm X's municipal securities activities, and, since resigning from the Firm X Board, Name has had no involvement in the Firm’s municipal securities business; and (4) , the Contribution was returned and was small.
Hello FINRA,
Understand you make rules for betterment. I came to know you are changing the rules for Leveraged and Inverse ETFs and making it hard for common people to invest.
I am 61 years old and heavily invested in these ETF's as they provide better return and looking forward to my retirement. I do understand the risks involved and these days everything is detailed on internet and
While agree with the spirit of this proposed rule, in that investors who are at risk of being taken advantage of must be protected. I am concerned that the implementation and interpretation of this rule may negatively impact retail investors who are investing for themselves away from retirement accounts. I personally know many individuals who opened a Robinhood account during the pandemic and
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change Relating to the Series 28 Examination Program
Proposed Rule Change Relating to the Series 27 Examination Program
I am infuriated about the current proposed FINRA Rule #22-08! I, not some buerocratic regulators in Washington, D.C. should decide where, when and how I invest my money. It is my money, that I have earned and that I fully am aware of the potential risks, pitfalls, benefits, and otherwise that I put myself in when I invest in any investment - traditional or otherwise. I should not need to jump
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
