I am highly concerned about FINRA Regulatory Notice #22-08 because it could negatively impact the time and effort I have put into managed my leveraged portfolio. By imposing rules that restrict the freedom of my financial decisions, the regulation will make generalizations about who is sufficiently knowledgeable about leveraged products to use them properly. Adding special hoops to jump through
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the NASD By-Laws and Schedule B thereof that restructure the size and
Effective February 1, 2008, FINRA is expanding the class of entities permitted to use the delta hedging exemption to include other broker-dealers and certain financial institutions. NASD Rule 2860, as amended, is set forth in Attachment A to this Notice.
SR-FINRA-2009-026 - Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
As a registered representative, financial advisor and personal investor I would sincerely hope that I am never prohibited from using these funds in the future. If you want to ad investor education and or disclosures, so be it. But please do NOT reduce the availability of such products. As a rule of thumb, my firm does not permit the solicitation of these vehicles in my position. As for my own
Hi, Please solve all the [REDACTED] regarding naked short sales, darkpools, FTD's, short ladder attacks, marketmakes and hedgefunds beeing owned by the same entities and so on. There needs to be proper punishment not just a slap on the wrist 12 years later with a fine that represents lunch money. The entirety of the US financial system is being dragged through the mud, the trust, reliability
I have just been made aware of FINRA's proposal to limit investing in certain securities by the general public. I understand the concern that uninformed investors could be harmed financially by making ill-informed decisions on these trades. I myself went through something of a learning curve, and lost a bit at first. I also never invested more than I could afford to lose, either on inverse
Dear Regulators, As an investor, 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 of the public, not just the privileged. I agree that there should be warning agreements that need to be checked that an investor understands what they are getting into and the risks, JUST AS ALREADY EXISTS. NO
I urge FINRA to continue to protect the right of choice in how to best protect our investment portfolios in order to help achieve long-term financial security. My fear is that regulations could be too broad and difficult to interpret and therefore, Unworkable: The definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities
SEC Proposed Rule #S7-24-15 I vehemently oppose restrictions to my right to invest in public investments. I am able to chose the public investments that are right for me and discuss with financial advisor as needed. These investments should be available to all of the public, not just the privileged. There shouldnt be any special process like passing a test before investing in public securities
