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
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
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees)
Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision) to include calendar year 2022
