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
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
Activities requiring registration as an Equity Trader.
As the custodian for my disabled son's accounts, I need to reiterate what I said previously. I take my responsibility seriously and have for years. I am educated in reverse funds and have managed their funds using them for many years. I should have the same right to invest as I see fit as institutions do. The fact that these regulations imply an institution care more about my son's
I strongly believe in the importance of all Americans to guide their own financial decisions, to pursue their investment goals without interference. I am many things: an attorney, a wife, an investor, a mom to be, a video game developer... But under these varied hats, a regular American. Investing in leveraged and inverse funds carries risks, but risk is how Americans built this country through
Dear FINRA: DO not steal my free agency to invest my money as I see fit. DONT HELP ME. I need the leveraged and inverse trading financial instruments in order to hedge my portfolio. I especially dont need your mandate to complete a trading school of any kind. Leave me alone. If you still feel the need to stick your self righteous ignorant nose into other peoples affairs may I suggest [REDACTED]
I oppose restrictions on my rights to invest as I wish in public investments in regulated markets. I should be able to choose (without restriction) which investments are right for me, not just the privileged financial class. I shouldn't have to go through some special process or pass a test before having access to any public securities including, but not limited to: inverse funds, leveraged
Sec. 3. Each member shall appoint and certify to the Secretary of the Corporation one "executive representative" who shall represent, vote, and act for the member in all the affairs of the Corporation, except that other executives of a member may also hold office in the Corporation, serve on the Board or committees appointed under Article IX, Section 1 or otherwise
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 20, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,091. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I oppose restrictions to my right to invest. This is a terrible thing to do. It is not going to do whatever your being told it will do to make things better. Just because another human being has not been able to become an accredited investor at a certain point in their life and or maybe never will. You should not shut them out of a better chance at financial safety and security in life. The
