September 17, 2019
9 a.m. - 1 p.m.
Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950
Topics
Outside Business Activities and Private Securities Transactions
Social Media and Digital Communications Compliance
Register - $195
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 (Options) to (1) require that a copy of each amendment to the options disclosure document, Characteristics and Risks of Standardized Options, be distributed to each customer not later than the time of the delivery of a confirmation of a transaction in
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
Who are you to make such regulations? It is none of your business how I invest MY MONEY. You were not elected by me, the people. I probably understand inverse/leveraged investment products better than you. Our country and economy would be much better off if you resigned your government (aka. Unproductive) job, returned your salary to hard working tax payers and secure a job in the private sector
Limiting investors in any manner from public market participation - whether in leveraged or inverse funds - is a terrible concept which runs counter to maintaining liquid, free and open capital markets. Brokerage firms and RIAs already are adept at advising clients as to the suitability of investments, and investors should not be precluded from participating in such public market investments
Dear FINRA Regulators
In a period of history when Federal regulators threaten everything in the Bill of Rights, You now plan to restrict one of the few ways left to counter the massive inflation Congressional overspending has caused. Give private investors credit for having more financial literacy than most members of Congress and the white house. If you think the Overreach of Federal authority
June 4th, 2019
9 a.m. - 1:30 p.m.
FINRA District Office
55 West Monroe Street
Chicago, IL 60603
(312) 899-4400
Topics
Vetting New Products and Supervising Complex Products
Outside Business Activities and Private Securities Transactions
Register - $195
Where there is uncertainty, there are always bets—the question is who wins. From horse racing to the price of gold, people have always speculated on uncertainty. Insurance-linked securities (ILS) are financial instruments that allow investors to speculate on a variety of events, including catastrophes such as hurricanes, earthquakes and pandemics.
By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
Please, please do NOT impose the proposed new FINRA regulations. As an active investor I am practically regulated out of the marketplace, and am still suffering the damage caused by the Dodd-Frank Act. The last thing we private citizens need is more government interference in our lives, which invariable harms rather than helps. The amount of trouble and stress for regular people like me that
