Please know I have been managing our (married) investments for approximately 15 years. This was after I fired our broker as their investment strategy did not produce the returns expected and the fees were excessive. Since taking control of our investments we are on track to retire in very good shape. This would not have been possible relying / paying others to manage our accounts.
The amount of
Sec. 5.13 The National Adjudicatory Council shall appoint a Review Subcommittee to determine whether disciplinary and membership proceedings decisions should be called for review by the National Adjudicatory Council under the Rules of the Corporation and to perform any other function authorized by the Rules of the Corporation. The Review Subcommittee shall be composed of no fewer than
The purpose of this Rule 9700 Series is to provide, where justified, redress for persons aggrieved by the operations of any automated quotation, execution, or communication system owned or operated by FINRA, or FINRA Regulation, and approved by the SEC, not otherwise provided for by the FINRA rules.
Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2008-021 eff.
After considering an application, FINRA staff shall issue a written decision setting forth its findings and conclusions. The decision shall be served on the Applicant pursuant to Rules 9132 and 9134, except with respect to written decisions for exemptive relief under NASD Rule 1070 (Qualification Examinations and Waiver of Requirements), which shall be served on the Applicant electronically.
(a) If a party does not answer within the time period specified in the Code, the panel may, upon motion, bar that party from presenting any defenses or facts at the hearing, unless the time to answer was extended in accordance with the Code. The party may also be subject to default proceedings under Rule 12801, if the conditions of Rule 12801(a) apply.
(b) If a party answers a claim that
A committee designated by the Board of Governors, the Uniform Practice Code Committee (the "Committee"), shall have the power to issue interpretations or rulings with respect to the applicability of this Code to situations in which there is no substantial disagreement as to the facts involved in order to make custom, practice, usage, and trading technique in the investment banking and
(a) If a party does not answer within the time period specified in the Code, the panel may, upon motion, bar that party from presenting any defenses or facts at the hearing, unless the time to answer was extended in accordance with the Code. The party may also be subject to default proceedings under Rule 13801, if the conditions of Rule 13801(a) apply.
(b) If a party answers a claim that
These rules seem to place an undue burden on me as an individual investor. I dont believe I should have to pass additional hurdles above and beyond what any other individual has to do. This country is founded on equal opportunity. That includes opportunity for success and failure. Anyone without the knowledge to invest in certain instruments would do so at their own peril. The existing
Dear Sirs/Madams,
As a retail investor, this is a terrible idea. Brokerages already offer nearly unlimited exposure to leverage with options, futures, futures options, and other products; not to mention 4x margin availability to even relatively small account-holders. Restricting access to some polymorph of accredited investors will only deprive informed retail investors of one of their few hedge
To Whom This May Concern, I do not agree with SEC Proposed Rule #S7-24-15. I believe that I should have the ability to choose what investments are appropriate for myself. I am capable of appropriately educating myself without having to pass "tests" imposed on me. Leverage and inverse funds are very important to my investment strategy. In fact, I followed a very regimented investment
