I am a private citizen who has been managing my own investment accounts for over 20 years. During those years I studied the markets and investment strategies. Initially I had to convince my brokerage firm, Charles Schwab, that I was qualified to trade options and inverse ETFs as well as futures contracts and manage my own accounts. It is very important to me that I be allowed to determine what
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.The purpose of this Notice is to promote and provide an overview of the various opportunities for
Some investors use foreign securities to diversify portfolios. Since overseas assets often don’t track their U.S. counterparts closely, a globally diversified portfolio might help reduce volatility. But currency risk could be present both in foreign investments and also other parts of your portfolio.
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
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MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
This conference comes at an important time, in the aftermath of a very difficult period. If we look back to the summer and fall of 2008, every time we thought conditions in the financial sector couldn't get worse, they did, and we ultimately came to the brink of a global market meltdown.
Private investors should be able to choose the public investments that are right for them, and public investments should be available to all of the public, not just the privileged.
This idea of regulating trades is an overreach against private investors. Where does such power end?
I ask that you abandon this bad idea...thank you
