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
In 2008, I lost my job,my house and my partner. I still have not recovered. If you recall, complex investments were at the heart of the 2008 financial crisis. Support our regulators and keep investments simple and transparent!!
As an investor, I would like to be able to choose the best investments for my personal situation. I have access to a financial planner and I am well informed of the risks in trading leveraged securities.
I am against any further regulation.
Im a financial professional who understands the risks involved. People with no background in investments should go through a course to understand these risks with an inverse and leveraged fund. People with securities licenses have taken enough tests.
If you want Americans to successfully achieve the American Dream through successful means financially and pulling themselves off of their bootstraps do not interfere people should have free will and the right to invest accordingly to their own wishes
Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
This seems like it could easily lead to a situation where the only people who can open a self-directed account to trade in options or complex products are rich, white, financial professionals. The rich get richer.
Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
I oppose this proposed rule change. It restricts the freedom of retail investors to advance their finances while allowing high net worth individuals to take advantage of more leverage. Everyone should have the same financial tools available.
I oppose any restrictions that will block my right to invest in public investments. I believe I am capable of making financial decisions that are right for me. If I feel I need additional advice to support my decisions, I will not hesitate to seek that advice.
