The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS 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.
(a) Definitions
For purposes of this Rule and any interpretation thereof:
(1) "Options communications" consist of:
(A) "Correspondence." Any "Correspondence" as defined in Rule 2210(a)(2) concerning options.
(B) "Institutional Communication." Any "Institutional Communication" as defined in Rule 2210(a)(3) concerning
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
STOP MAKING RULES VIOLATING PEOPLE'S RIGHTS! MY MONEY MY CALL!
I, not regulators, 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.
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like
The federal government is not suppose to guide, steer and steal the hard earned money from U.S. citizens. The Constitution and our forefathers warned its citizens AND wrote LAWS with stringent views against Big Government. Our states are to determine certain rules and regulations. We do NOT want your red Socialist tape, hidden agendas and under the table deals from greedy, self serving
I oppose thr proposed rule. I want to be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Leveraged and inverse funds are
Qualified investors (current status) should be allowed to invest in a variety of products including inverse and leveraged funds -- This is like call or put options--to maximize their opportunity. We should be made aware of the risks (current status), and enjoy the gains or suffer the losses.
You need to end Congressional exemption from insider trader rules before addressing inverse and leveraged
I want to state me displeasure at your attempt to limit my investing in leveraged or inverse funds. I know the risks involved in this type of investment. One of the risks was not the government stepping in and potentially making my current investments plummet in value.
There would be so many rules involved I would have an extremely tough time selling my shares, plus I want to leave open the
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
I am not a big investor, and I believe in free and universal access to the markets. I was fully informed by my broker about the risks involved in leveraged and inverse funds, which are an important security hedge for me should the market crash. I am opposed to SEC Proposed Rule #S7-24-15 and urge you to consider the harmful and unnecessary limitations it would impose on myself and others like me
