Aloha, as a small retail investor I would definitely NOT be in favor of any of any restrictions on my ability to buy and sell publicly-traded ETF's and similar common financial products, so long as the already well-known risks are plainly and honestly disclosed by issuers and brokers in any promotional materials. Trying to accurately determine who is and isn't capable of
As an individual investor who started with very little and has put countless hours into learning the markets to be successful, Im completely outraged at the the thought of another government regulatory entity over-stepping their bounds in an attempt to protect me from risk. The money I invest comes from my employment wages, so there is careful calculation and consideration put into each position
This sounds like another misguided attempt to save people from themselves.
I am a novice investor. I have several friends who are also novice investors. We're responsible, upstanding people with day jobs who have earned our money and have made a conscious decision about the kind of risks we'd like to take with that money. We understand the risks we're taking. We
Hello As a market investor in certain stocks which have been massively naked shorted by hedge funds, I feel we need total and complete transparency of all short positions. All short positions should be made public. All off-exchange dark pools should be banned except for real large block trades, which was the original intent. Naked shorting should be regulated and prohibited to a greater extent.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of
I am writing to express significant concern with respect to regulations being considered by the Financial Industry Regulatory Authority (FINRA) that may restrict my ability to buy leveraged and inverse funds and dozens of other popular investments deemed by FINRA to be complex. Leveraged and inverse funds are very important to my investment strategies. I regularly use them to protect (hedge) my
It is a "free market", and hence 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 the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I have sat for
Just found out about the proposed restrictions being considered regarding leveraged/inverse investments. My wife and I are retired and utilize products of this type on a limited but regular basis in attempt to protect and improve our retirement income and sources... just like the large and politically connected trading companies. It is absolutely necessary in this messed up economic and political
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240 (Continuing Education Requirements). The proposed rule change also makes conforming amendments to FINRA Rule 1210 (Registration Requirements). Among other changes, the proposed rule change requires
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  
