This greatly restricts our freedom to invest and to try and reach financial independence. Also, seems ridiculous to do this when people already have funds tied up in these investment vessels.
Im financially savvy and am willing to risk my money. Having an income/net worth bar will greatly increase the wealth gap and further discriminate and disenfranchise folks like myself
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to revise the syndicate account settlement timeframe for corporate debt offerings.
<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases
FINRA360 has yielded a number of organizational and operational changes aimed at making FINRA a more efficient, more effective regulator.
Changes to FINRA Enforcement Structure
FINRA Examination Program Improvements
FINRA Annual Budget Summary and Financial Principles
Interim Report on Use of Fine Monies
Data and Analytics
Regulatory Operations Oversight Committee (ROOC)
Enhancements to
I believe this "Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions" is a crucial step for more transparency in the finacial markets. It will be important to limit misuse of financial instruments/loopholes and so forth in order to gain an advantage over other market participants. I strongly agree to the proposed requirement.
The whole point of cryptocurrency was to restore power to the people. A financial system that wasn't rigged in favor of the rich. Adding more friction to being able to invest further rigs the system against the majority.
I am against to have any limitation against my access to any ETFs in my stock portfolio. I am heavily invested in the ETFs and the future restrictions are against my financial investment.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) to make the current clearly erroneous pilot program permanent and limit the circumstances under which clearly erroneous review would be available.
