Comments:Given that it's been banks and wall street that has crashed the stock market numerous times with their wild gambling and poor planning, even though they're supposedly sophisticated traders with lovely certificates attesting to the fact, perhaps you should tighten regulations on the financial giants and leaches in the system before you go after the small people. Have
I am already anti-capitalist. I despise the system which rewards not merit, but inherited wealth. I cannot possibly fathom why you would want to make my job so much easier- you understand that by depriving average citizens of the right to invest, you are pushing them directly into my waiting arms? I know I shouldnt interrupt my enemy while he is making a mistake, but this? I almost pity the short
Aren't we living in the land of the free and the home of the brave?? Why, then, are you pushing for regulations that would limit certain people from purchasing leveraged and inverse funds? Why are you creating a system with those who have these privileges and those who are refused these privileges. Public investments should be available to all of the public, not just the privileged. Let
GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The NASD® is publishing this Notice to clarify its position on the use of logos and names of banks and other financial institutions under the current NASD rules and regulations and the federal securities laws generally.
Discussion
In the November 1994 account
Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
Thank you FINRA for opening the opportunity to comment on Regulatory Notice 21-19 to all investors. Theoughout Throughout last two years, I, along with many others, have enjoyed expanding my knowledge base of the stock market. The more I've learned about the stock matket, the less faith I have in the system. I can open an app on my smart phone anywhere in the world, send money through my
I am commenting in regards to particular aspects of FINRA 21-19, which I do support and believe should have been enacted long ago. Undoubtedly, the public’s faith in the United States market has been diminishing following the many preventable financial crises that have occurred in the past. The ongoing state of the market from retail investors points of view, frankly appears broken and has failed
To whom it may concern:
It has come to my attention that FINRA is considering significant and severe restrictions on my right to select my own investment vehicles. I don't need "a parent" to oversee my investments and protect me from myself. Candidly, I think this is an overreach of government powers. I am an experienced investor with a background in the financial
The entire world is watching as hedge funds manipulate what is supposed to be a fair market. We need the criminals to be outed and prosecuted. I don't see any way to maintain any faith in the system without it. We need transparency with what is happening specifically regarding AMC and GME. It's clear Citadel is manipulating the price using the dark pools and routing the buy orders there
