Taking away investor rights to risk management assets like leveraged and inverse funds is robbing investors of income and simple tools which can only be emulated with complex options transactions if at all. Such regulation Hurts Investors: It could potentially deny us the freedom to choose investments that could help us achieve long-term financial security. Is Arbitrary and Unworkable: FINRAs
I am a retail investor, and have a small part of my IRA accounts that I manage myself, while placing the bulk of the funds into index funds and the like. However, I believe that I should have the right and access to all the same financial instruments that professional investors do for the portion that I manage myself. From time to time, I use leveraged and inverse funds. This are risky and
Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
SR-FINRA-2008-035 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the
Series 14 and Series 16 Examinations
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
