Summary
FINRA’s Digital Experience Transformation is changing the way that firms and their personnel access and interact with FINRA’s systems and complete their compliance and regulatory tasks. This Information Notice highlights near-term changes to the manner in which firms and their personnel access, and interact with, FINRA’s registration and continuing education applications and provides
I’d love to see more more transparency. I’d love to be able to trust the data that I see when researching stocks. I’d love to trust that the markets are fair. I can’t do that right now due to how the current system is setup. The US markets are completely fake. The changes suggested may improve things.
I strongly support stricter reporting requirements on short positions held by market makers and prime brokerages. It is increasingly necessary that FTD information be presented to the public as a way of not only limiting abuse of the FTD system, but also to reveal obfuscated information that is not readily available to the market and is often times concealed or miscategorized in reporting.
It's the basic principle of "free market" that the retail investors should be able to choose whatever products (including Options, Futures and Other Derivatives) to fit their investing strategy. Taking this right away will even broaden the wealth gap between retail investors vs the riches who could leverage institutional service. The liquidity of the market will be
I'd like the freedom to determine my own financial risk and investments. I've studied the financial market for more than 30 years via paid services, books, newsletters, etc. I watch my portfolio closely using paid advisor review my portfolio decision based upon my life situation and risk profile. I absolutely do NOT want to have a financial agent of the federal government
Comments: I read the FINRA document and as a 30-year veteran of the financial services industry and held numerous FINRA registrations and licenses throughout my career I find this document to be a gross overreach of government regulation and intrusion into my personal financial decisions.
FINRA needs to be focused on educating investors, requiring adequate & appropriate risk
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
When it’s more profitable to break the law there will never be the change that is needed in the markets. Making 100 million dollars illegally and it only costs 25 million in fines equals a profitable business model. Why would they EVER follow rules??? The system is broken, rigged and allows outright theft, fraud and manipulation.
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
