(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers. In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-
As an individual investor I consider
leveraged and inverse investment funds very useful to manage risk in my overall investment portfolio. They represent a minority but important percentage of my overall portfolio and are utilized to help offset and mitigate risk in my more Substantial longer term positions on a short term basis, avoiding disruptive transactions in my long term holdings.
I am
I strongly oppose the upcoming regulations on certain types of funds that would exclude the public from access to these investments in their portfolios. Every citizen should be allowed to decide what they choose to invest in, and not be subject to limits based on overall net worth or formal investment education and approval by individual brokers. Now more than ever, investing has become
To Whom It May Concern [FINRA Regulators] -
I am the personal investment manager of my retirement accounts for the benefit of myself and family. Over the last decade, I have consistently outperformed professional fund managers.
As a knowledgeable, experienced, and self-reliant investor, I feel I have the right to manage my own investments in public companies that are appropriate for myself and
I am an individual retail investor and my family relies on proceeds from my investment activities for consistent monthly income. We are now fully retired.
We frequently rely on inverse and leveraged trading vehicles (ETF's), in limited appropriate amounts, to help meet monthly income targets. These short-term tools are absolutely critical to our monthly returns, as well as for our
This attack on the individual investor seems to occur anytime the stock markets drop 10% or more. It seems FINRA looks for a scape goat and acts out to attack us by trying to destroy opportunity and product selection. They don't seem to understand the true reason why the stock market so elevated and due for a greater fall. The Federal Reserve illegally violated the Federal Reserve Act,
I find it odd that FINRA would require individuals to possess a net worth of greater than 1.000.000 dollars or an income of over 200.000 a year in order to invest in leveraged ETFs. This effort blatantly furthers the financial disparity in the United States unequally allowing privileged individuals to create larger pools of wealth. No correlation exists between a persons competency and the size
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Part 111, Section 5 of Schedule D to the NASD By-Laws to provide nonquantitative designation criteria for limited partnerships that list on the Nasdaq
FINRA provides various methods to submit comments in response to its requests for comments.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@firms-finra.org” or “@firms-sipc.org”. Neither of these domains is connected to FINRA and firms should delete all emails originating from these domain names.
