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
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
February 28, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision staff to discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerGreg Ruppert, Executive Vice President, Member SupervisionKayte Toczylowski, Vice President,
June 15, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss cybersecurity issues affecting the industry and effective practices.Speakers:Robert Cook, FINRA President and Chief Executive OfficerKeith Bettencourt, Specialist Manager, Member SupervisionWyatt Hamilton, Associate Principal Risk
(a) Criteria for Receiving and Excluding Evidence
The Hearing Officer shall receive relevant evidence, and may exclude all evidence that is irrelevant, immaterial, unduly repetitious, or unduly prejudicial.
(b) Objections
Objections to the admission or exclusion of evidence shall be made on the record and shall succinctly state the grounds relied upon. Excluded material shall be
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules primarily to provide FINRA with temporary relief from certain timing, method of service and other procedural requirements during the period in which FINRA’s operations are impacted by the outbreak of the coronavirus disease (COVID
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
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
