I work hard for every cent I have. When I am lucky to have some to invest, I want to invest my way and don't want more regulation. I have lost my financial stability because of Democratic leadership. Under Trump it was coming back. Biden and Congress are killing me!
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
I think the SEC should stop limiting more financial products for only accredited investors. General retail investors are already not allowed to invest in alternative assets such as VC, PE, growth equity and private credit funds that have consistently generated significant alpha over public market returns
Enact the rules and close up any loopholes. This has the potential to stop a lot of shady business practices if done correctly and insulate the market from predatory financial firms.
July 24, 2023During this session, FINRA staff discuss the recent MOVEit vulnerabilities that impacted several FINRA member firms, how FINRA responded, and practices that firms may find useful in mitigating the risks posed by ransomware. This webinar also includes a discussion on the CAU in more detail and what types of intelligence you can expect from FINRA moving forward.Speakers:Brita
I am financially literate after being a mortgage backed security credit analyst for 35 Years. Who are you to direct my investment choices and trading abilities? And I only use levered funds when no unlevered option is available such as YCS. YOU KNOW NOTHING! STOP IT! STOP IT! STOP IT!
I've been trading leveraged and inverse funds for a couple years now and they are critically important for my trading plan. I realize the risks and fully own them, but they are absolutely necessary for my future plans. I believe as a free American citizen it should be by right to make such financial decisions for myself and not regulators.
A free market implies free trading with all available instruments. The limitations are a financial dictatorship. I will not trust a market that changes its rules every now and then in favor of some special interests and government convenience. You better focus on making the same rules for everyone and NOT make select categories with "special" rules
It is not your privilege or responsibility to utilize or control the use of any type of currency. Currency was created for the people and not for any government agency to perform acts of greed and control to keep people from acquiring a livelihood and financial freedom through another agency that can actually be trusted and make gains to promote such activities.
If my financial planner or I review a registrred ETF, Mutual Fund, stock, bonds, etc, inclusive of its prospectus for an investment and if after said review I deem it approved as a viable investment, why should the government tell me I cannot do so? Isn't it within my rights to do so?
