Respected gentlemen/ladies, I have few things to say to you about these proposed new regulations: 1. Please let me continue to decide what I do with my money and where I put it. 2. Please let me continue to decide what my portfolio would be composed of and please stay out of my portfolio 3. Please don't tell me that I'm not intelligent enough to invest in public securities like
All financial market participants should be able to make their own investment choices. There are already too many restrictions on net worth allowing the rich to make investments that others cannot access. We dont need FINRA or any other government agency to tell us what to invest in and what not to invest in. Vanguard is already doing this and I am taking my business to another brokerage. Also,
Once again, people in government want to do what's best for you. Our elected representatives want to be able to control how I trade leveraged funds. I don't get to chose how my elected representatives trade, yet I am consistently taken advantage of by my elected representatives. Think about how ridiculous it is to only let people of very high net worth trade leveraged funds in their
Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix F under Article III, Section 34 of the Rules of Fair Practice and Schedule D to the NASD By-Laws. The amendments would restrict member participation
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
FINRAs measures are at odds with Americas long-standing disclosure-based system, which gives investors and their advisors the freedom to make their own investment decisions.
Brokers and individual investors not regulators should be able to choose the investments that are right for their clients or themselves. Public securities should be accessible to all of the public, not just the privileged
