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Legal & ComplianceOperationsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
This is unAmerican to take these rights away from me. I would be out thousands of dollars that I cant afford to lose. Using a leveraged ETF that I am investing in now is how I planned to afford to pay for grad school. Why would you crush my dreams?
I oppose the extreme regulation planned by FINRA. It ignores the principle of my right to decide what public securities I invest or not invest in. It threatens my right to invest in my long term future. What is FINRA gaining from this move against the American public???
It's especially important regulators hear from you in your own words. Please use the body of this email to customize your response. This proposal doesn't make any since, unless you also plan on doing away with the Options market too.
Please allow individual plans to formulate their own investing rules without the government adding new laws and restrictions. Risks of investing in cryptocurrency funds such as BITO are understandable by investors such as myself. There are many public funds that are of high risk that do not incur onerous investment restrictions.
To prepare for a life of moves, you need to know what to expect both before and after a move.
FINRA Provides Guidance on Pandemic Preparedness
Sec. 4.1 The property, business, and affairs of FINRA Dispute Resolution shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Dispute Resolution and have the authority to perform all such lawful acts as are permitted by law, the Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its
Lisa Arnesen is FINRA’s Vice President of People Analytics and Operations. In this role, Ms. Arnesen leads the strategic and operational support of all HR systems, as well as FINRA’s employee relations and people-focused data analytics and reporting functions.
Prior to joining FINRA in November 2021, Ms. Arnesen was Vice President of HR Operations at Erickson Living, where she was responsible
This is over regulation plan and simple. There is a limit on which the government can protect people especially when it comes to investing. Every investor/ trader has lost and made money and has learned from every trade. Your this is not for thee it is only for we attitude is not protection it is exclusion.