I feel that government overreach has been getting worse and worse. I am a crypto investor. I feel some things that need to happen is making bots illegal for crypto. They are a problem for the industry when every tom dick and harry have a bot program like Pionex as an example. The government should regulate the industry, without screwing those who have been in it. I am for regulation on the
If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a principal to the trade and shall honor such trade on the scheduled settlement date.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008
It is nakedly clear that the only group you stand to protect is the establishment who have a vested interest in the traditional financial markets going up and to the right indefinitely. However, as the government inflates away the value of our savings the only people who stand to gain from impending crashes are the already wealthy. Your arbitrary barriers are clearly designed to favor the wealthy
I am a retired insurance business owner and am solely responsible for investing and trading my retirement funds. I use Inverse and Leveraged funds to hedge my portfolio insurance to protect, preserve and grow my portfolio. As a small investor it is vital for me to have use of these tools to use as I see fit without interference from any other authority(s). I know my personal situation, my
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance Meetings
Rule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the process to fill one South and one Midwest Region vacancy on the Small Firm Advisory Committee (SFAC). In response to the Election Notice published on September 1, 2020, individuals only self-nominated to run for the South Region seat. Therefore, ballots will be distributed to elect one SFAC South
These proposed regulations are outrageous. In a time when markets are posed to melt down, what other hedge does the average investor have but leveraged and inverse funds? These funds are not difficult to understand, certainly no more difficult than the average vastly overvalued equity or byzantine mutual fund.
This seems like a way of preventing normal investors from protecting ourselves in
Hands off my choice to invest in public investments! Individuals absolutely have the right to decide which public investments we should have in our portfolios. Slowly but surely government overreach is destroying the rights of working Americans to freely live, work, invest and save for their futures. Prior generations invested as they saw best, and my husband and I and other working Americans
My name Christopher Cialone. Cryptocurrency has opened up a new world financially, and economically...for the little guys. Bitcoin, and the subsequent alt coins that have followed has given regular everyday people an opportunity to be more hands on with their own finances, to use in tandem with the existing system of finance. I have changed my entire life because of cryptocurrency, and as it
I express my disapproval of the possible restriction on the ability to invest by myself, it has been a fundamental advance for me to know that I am capable of planning my financial future while learning along the way about how to make my investment systems more efficient. I have been able to empower myself as well as my children, family and friends to learn and apply financial knowledge in asset
