Dear Regulators, As an investor, I, not regulators, should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I agree that there should be warning agreements that need to be checked that an investor understands what they are getting into and the risks, JUST AS ALREADY EXISTS. NO
I urge FINRA to continue to protect the right of choice in how to best protect our investment portfolios in order to help achieve long-term financial security. My fear is that regulations could be too broad and difficult to interpret and therefore, Unworkable: The definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities
I believe in the public's ability to research and invest and not be hindered by yet more regulation and restrictions. The individual is slowly being pushed out of the ability to make investment decisions. Many financial advisors are mandated to create a client risk profile and that results in the individual having very little room to make adjustments. Allowing ever-larger advisor groups to
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with
I do not want to sound uneducated or stupid, but I think that there a lot of shady dealings going on in the stock market and I'm afraid that this will effect my portfolio. Please make all short positions be reported. Do we need dark pools? yes! but I wanna see that information too. We all want a free and fair market. I'm not here to be a financial patsy, for crying out loud gas is like
The manipulation in the market is obvious. Details come out every day that point toward market manipulation. Information has been released on previous manipulation that led to the recession in 2008 and it is obvious that no lessons were learned from that crash. Money makers are only concerned with creating enough profit through manipulation to pad themselves during these economic downturns.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that would require members to file retail communications concerning private placement offerings that are subject to those rules
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036. The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to delete the rules related to the OTC Bulletin Board® Service (“OTCBB”) and cease its operation, and to enhance the regulation of quotations in OTC Equity Securities by adopting new requirements for member inter-dealer quotation systems.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add industry member compliance rules relating to the Consolidated Audit Trail (“CAT”) to FINRA’s Minor Rule Violation Plan (“MRVP”).
