To FINRA, It has come to my attention through my broker that this notice may lead to a restricting of many types of investments that I have available to me. While some of the recommended requirements such as a cooling-off period and an increase in information that a client must see could benefit retail investors. Other requirements such as a net worth requirement are troubling, to say the least.
Report Brings Attention to Opportunities and Risks Presented by the Technology
WASHINGTON— FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While practical quantum computing remains nascent, the research examines how the emerging technology that relies on quantum mechanics to perform complex calculations could significantly alter the
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EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article VI, Sections 3 and 4 of the NASD By-Laws to provide for the suspension or cancellation of the registration of an associated person in
This is an absolutely vile proposition, aimed at maintaining the status quo and blatantly trying to stop social mobility. What's even more shocking is that this is not even trying to mask itself as something else, it's just blatant discrimination and abuse of power. It is utterly shameful and completely antithetic to progress and growth. If you are trying to mitigate the chaos
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
I, not you are best able to determine what types of investments are best for my wife and I. WHY are you proposing regulations that may limit my ability to structure our investments the way I have successfully done for over 50 years, in part using leveraged and inverse funds? Are you trying to protect investors from themselves, perhaps trying to reduce volitility in the markets, or just have time
I consider these proposed rules to be yet another abridgment of a citizen's right to do with his money what he chooses. I have half a century of experience in investing in stocks and bonds of all varieties. I learned how to do it the hard way, not by taking a test, but by self-study and experimenting with various instruments. I administered 2 employee pension plans as well as my own
Public investments should be available to ALL of the public, NOT just the PRIVILEGED few.....
All one has to do is read what is provided by the securities to know, understand what they offer... It is a joke, insult to think I would need to take a class, pass a test to try to make money with MY MONEY.......
When the market is DUMPING as it currently is its nice to make a few dollars, hedge my
To whom it may concern,
I oppose any restrictions on my right to choose to make investments in any public investment. Investments should be available to all, not just the rich and privileged. I am perfectly capable of making my own investment decisions, I don't need you to tell me what is and what isn't a good investment.
I have already lost out on tens of thousand of dollars
The Anti-Money Laundering, Fraud and Sanctions section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
