I am concerned about my future ability to invest in various types of products that I have utilised over the last few years. I have invested in inverse ETF's, currency ETF's, Leveraged ETF's, foreign country or market ETF's, etc.
I should have the right to invest in these vehicles for the benefit of my family, and not be told what I can and cannot invest in.
As a private investor, who invests to provide an income and retirement savings for my family the FINRA should not limit my access to public investments.
- You should not restrict access to public investments to those that can pass a test that limits access to public investments.
- You should not set income or net-worth limits on access to public investments.
- You should not provide provide
Let me share a story. I have a small trading account, less than $1,000. I’m working to build it up, and for that, day trades are crucial. Every decision I make now comes with the added question: “Is this trade worth using one of my limited day trades?” That’s mental overhead, and it doesn’t protect my account—it hurts it.We’re in 2024. We have tools like stop orders to manage risk effectively.
The annual meeting of FINRA firms will take place on or about August 18, 2025, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 18, 2025.
Listen to FINRA CEO Robert Cook discuss proposed new Rule 4111 at the 2019 FINRA Annual Conference.
Summary
As part of FINRA’s ongoing initiatives to protect investors from misconduct, FINRA is requesting comment on proposed new Rule 4111 (Restricted Firm Obligations) that would impose tailored obligations, including possible financial requirements, on designated member firms that cross
API tests provide quick feedback, resilience against brittleness in tests compared to UI end-end tests, and provide consistent results. The business logic implemented in the server-side as an API does not need to be tested from the UI/presentation layer.
A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
The Market Access Rule topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and NASDAQ Subscribers
On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
