Dear SEC, How dare you go after these instruments. Focus more of your energy on companies which do insider trading and when you do give fines they cannot be less than the money made. Inverse funds and short selling and leveraged funds give some advantages to average investors that institutional investors dont need. Please reconsider thiese "rules". Banks should not trade FDIC leveraged
The proposed rule that would restrict MY investments choices is incompatible with a free society. I am an adult and make my own decisions in regards to all aspects of my life, including my investments. FINRA has no role in restricting those decisions. I fully understand what a leveraged fund is, and what an inverse fund is, but that is not the main point. The main point is I should not, after 20
I am against SEC Proposed Rule #S7-24-15. I not regulators should be able to choose the public investments that are right for myself and my family. Public investments should be available to all of the public, not just the privileged. I use covered call options on inverse and leveraged funds to make money, regardless of the market direction. Yes, there are risks, but they are risks I understand
The investment landscape is currently regulated at a high level. While I understand the importance of ensuring that nefarious inversely schemes are kept at bay, the ones who do follow the guides, rules and laws should be allowed. These types of investments give me hope that I will actually be able to retire someday without reliance on social security which is a bloated beast. Funds such as
This new purposed Rule is very concerning and cause's more harm than good, It is not the job of Regulator's to decide what individuals can purchase.The autonomy of what an individual buys with their own money, that should be in there hands, only their Hands. allowing individual investors to utilize these tool, provides access to more affordable professional strategy's! THIS IS OVER
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
During its July 12 and 13 meeting, the FINRA Board of Governors Re-elected Eric Noll as chair, re-appointed public governors Deborah Bailey, Lisa Fairfax and Maureen Jensen, and approved three rulemaking items.
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
First, there is no rule that can be put in place where the repurcussions are fines. Fines are a cost of doing business. Period. The street always makes far more money illegally then they pay in fines. 150% minimum fines. Now, that said, self reporting is a joke. We have the systems and technology available to ensure trades are marked correctly, that they are delivered adequately, not
Before ranked arbitrator lists are due to the Director under Rule 12402(d) or Rule 12403(c), the Director may combine separate but related claims into one arbitration. Once a panel has been appointed, the panel may reconsider the Director's decision upon motion of a party.
Amended by SR-FINRA-2013-023 eff. Sep. 30, 2013.
Amended by SR-FINRA-2011-007 eff. Feb. 16,
