SEC Regulation Best Interest sets forth the standard of conduct broker-dealers must provide to their retail customers when they make recommendations of securities or investment strategies involving securities. Form CRS is a relationship summary disclosure that broker-dealers and SEC-registered investment advisers must provide retail investors.
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Did you know that you can set aside pre-tax dollars for “qualified medical expenses” to pay for outlays not covered by your health insurance plan? Health savings accounts (HSAs) are investment accounts and contributions don’t count toward your adjusted gross income at the end of the year, but there are rules.
Please dont limit the fund options available to workers who lack a defined benefit retirement plan to self-fund our retirement through inverse or leveraged investments held in defined contribution retirement plans. I oppose potential regulation of complex investment held in tax-deferred qualified retirement accounts. Thank you.
To The Financial Industry Regulatory Authority (FINRA), I want to continue having the ability to freely invest in a broad range of public securities designated as complex productsincluding the leveraged and inverse funds offered by ProShares. These "complex products" have enabled me to protect my retirement portfolio from severe financial losses. Perfect example: The current "
Stop Stealing our Retirement.
We have Worked Hard for Our Retirement!!!!
