FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
Please allow my research and judgement to decide the best investment vehicles for my money. All tools require effort and time to learn. None are more complex than others. ETPs like Inverse ETF funds go the opposite direction of a benchmark. How is this difficult to understand? In fact, in my ROTH IRA this is the safest means to hedge against the market going lower. I don't want to
RE: Restrictions on Leveraged and Inverse ETFs
We know that these investment vehicles are legal, so restricting access is basically unethical and corrupt. If these investment vehicles are open to some, then they should be open to all. The proposal includes language about needing to pass a FINRA exam to invest. Scarry Part is the fact that other investment vehicles could become restricted as
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Executive Summary
The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred
To FINRA, It has come to my attention through my broker that this notice may lead to a restricting of many types of investments that I have available to me. While some of the recommended requirements such as a cooling-off period and an increase in information that a client must see could benefit retail investors. Other requirements such as a net worth requirement are troubling, to say the least.
So Investments are too complex for us "regular" people? Discrimination much? Investments are only for those with a high net worth? Discrimination much? It's 2022, the time where we all talk about discrimination and how we can fix it. Well with what's been coming out of lawmakers hands in 2022, has been fueling the discrimination fire. I started investing in 2021 when CoinBase
C&C TRADING L.L.C.35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830C. L. KING & ASSOCIATES, INC.NINE ELK STREET, ALBANY, NY 12207C.R. LLOYD INVESTMENT SERVICES, LLC150 E 4TH PLACE, SUITE 600, SIOUX FALLS, SD 57104C2M SECURITIES, LLC7315 THREE CHOPT ROAD, RICHMOND, VA 23226CABIN SECURITIES, INC.6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223CABOT LODGE SECURITIES LLC425 N
This un levels the playing field so large wealth and insiders can get the largest reward on new and yet untested investment opportunities. To have wealth, is to always have an advantage for more wealth. This is unfair and difficult for minimally wealthy investors to have a similar chance at getting the best returns for getting in early. This effort is on the surface to keep small investors
