I beleive i should be able to choose the publiv investments that are right for me and my family. public investments should remain available to all of the public, not just the privileged. I shouldnt have to go through any special process like passing a test before being able to invest in public securities, like leveraged and inverse funds. i understand the funds and their RISKS.This is important
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly leverage digital innovations to create operational efficiencies and optimize decision-making, and to respond to investor demand for digital platforms.
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
It is in the interest of anyone investing in the market, as well as for those with retirement accounts for there to be an improvement in the reporting of short interest, and of its sources. At this time it is common for stock prices to be determined not by the foundational performance of the company that it represents, but rather by whether hedge funds or other investment vehicles have decided to
The United States if a free country. All regulatory agencies have a responsibility to protect our freedoms, not restrict them. All financial regulators have a responsibility to ensure investors are adequately informed, but they have no right to restrict our freedom to invest freely as we choose. By limiting access to investments, you limit innovation and also subject retail investors to the
Dear FINRA, I come from the industry, although now retired, and am an active trader using leveraged products. I agree with you that anyone using these products should be able to demonstrate sophistication and an understanding of the underlying optionality and risks. (In cases of trading discretion, the person with trading discretion over the client's, or family member's,
This is ridiculous these financial regulations are even being considered. I should be able to choose my own investments. Not enough people are taking advantage of these investment options already, not enough people are prepared for retirement, and you just want to make it harder. Its like you want the wealth gap to grow even more.
These literacy tests remind me of those required to vote and we
With the world economy in the state it's in, it's imperative that investors have the right to invest where and when they so choose, without any regulations. I've been investing in leveraged and inverse funds for year, and fully understand all risks and rewards associated with them. Leveraged and inverse funds have helped me meet my retirement goals with their enhanced
With the world economy in the state it's in, it's imperative that investors have the right to invest where and when they so choose, without any regulations. I've been investing in leveraged and inverse funds for year, and fully understand all risks and rewards associated with them. Leveraged and inverse funds have helped me meet my retirement goals with their enhanced
