To whom it may concern: Please do not make even mor difficult for everyday people to participate in US financial markets. We would like more options and even more access to both public and private investments. Thanks for your considerations to these matters
The Books and Records topic of the 2024 FINRA Annual Regulatory Oversight Report (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.
During your first week at a new job, you typically focus on the basics – locating your office, setting up your computer and getting acquainted with new colleagues and acronyms. If you're Greg Ruppert, who joined FINRA on March 23, 2020 as the new Executive Vice President, National Fraud and Financial Crimes Detection Programs (NCFC), you mark your first week by establishing FINRA's
I am a private investor and highly value leveraged and inverse ETFs and derivatives. Regulators should NOT be determining nor limiting my ability to invest in these. They are instruments and strategies that help protect my portfolio when needed. Please do not place restrictions on leveraged and inverse ETFs.
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
I as an investor who regularly invests in leveraged and inverse funds do not need or want government intrusion regarding my investment choices. There are multiple private entities available that can provide much better, experienced based recommendations. Government involvement as usual, will only worsen the situation.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to Conduct Rule 2710. The proposal will provide greater clarity and predictability regarding when securities acquired by members and their affiliates in private placements will be deemed to be underwriting compensation. While securities acquired by an underwriter within 180 days
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member
Any investment firm 401 k mutual fund, insurance investment fund, union retirement funds or private citizens should not have ANY RESTRICTIONS ON INVESTMENT CHIOCES THAT WILL PRODUCE THE BEST RETURN FOR INVESTMENT DOLLARS . NO RESTRICTIONS FREE OF CHOICE TO BULID PESRSONAL WEATH SHOULD NEVER BE RESTRICTIED.
Just writing to ask that you don't put limitations on what products people can invest in...the middle class has a difficult enough time getting ahead already without having regulators interveening in their private affairs...please allow people the freedom to make their own decisions.
