Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
TO: All NASD Members, NASDAQ Companies and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 30, 1985.
The National Association of Securities Dealers, Inc., is requesting comment from NASD members, NASDAQ issuers and other interested persons on certain concepts related to voting rights of the shareholders of companies whose securities are included in the NASDAQ National Market System (
FINRA Revises the Series 9/10 Examination Program
Hedge funds and shorts are manipulating the financial system to make revenue gains while retail investors don’t have equal opportunity to realize gains with not as much capital available to them. This creates a very toxic ecosystem within the stock market industry.
I strongly oppose restrictions on my right to invest in public investments. Public investments should be available to everybody, not just the 1% and other elites. I am an adult and am capable of understanding the risks involved with investments, and should be free to place my money in investments if I so choose - there should be no special hoops or processes like passing a financial literacy test
More education is great, but you can't just call everyone dumb and treat complex products as some kind of magic. There are great recourses on the Internet where people can learn about them and understand most with half a brain. Looks like all these "financial experts" got scared losing their jobs and now want to limit people's access to options etc. so they come back to pay
Regulators,
I oppose restrictions to my right to invest in leveraged or inverse funds. These funds are important to my investment strategies and represent a very limited part of my overall financial portfolio. These funds help me hedge my investments.
Public investments should be available to all of the public, not just a select few. I am capable of understanding leveraged and inverse funds
I should be able to choose the public investments that are right for me. Public investments should be available to all of the public,not just the privileged few. They are already holding the majority of the wealth in this country. My investment is for my future home and retirement. If this country refuses to let people choose their investments what is the point of being a US citizen? This is
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
