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
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
I feel that I, not regulators, should have the right to choose the public investments that's best for my family. Publix investment s should be available to all the public, not just the privileged.
I should not have to pass a test in order to invest in public securities, including cryptoocurrency. I am capable of understanding the risk in these types of investments. And I can also
I oppose any action that limits the right of any America citizen to invest in Public investments. I am fully capable of making my investment decisions on my own and am fully capable of understanding the risks should I choose to make them. I do not need to pass a test to demonstrate my investment acumen. The results of my investments will be the testament of my knowledge. This is beyond the role
This is one more example of Americans potentially losing more of their rights to benefit financially in an attempt to convert our capitalist system to communism.
I am against this action to it's core. All American's should have the right to make public investments, not just the so called privileged.
Leveraged fund investments are important investments as they help to enhance
You are doing the public no favors by limiting it's access to capital markets. Leveraged ETFs play an important role in giving middle America the opportunity to beat the market and you should be ashamed of yourselves for attempting to pass any regulation which would prevent someone from trying to build wealth for their future. At a time of unprecedented income inequality any action by
To whom it may concern; Enough with the threatened imposed regulations and allow for an individual to make their own financial decisions. Public investments should be available to all and NOT a select few by your judgmental criteria basis. I do not need to have any additional regulation measures imposed on actions that I choose to take as an adult and being fully capable of making my own choices
I oppose what is being planned to limit my ability to invest MY money public investments. As we all know there is a level of risk in making any investment and that is a risk I as an individual make a choice on - Not you. Leveraged and inverse funds are important part of my investment portfolio limiting my access to these investment vehicles appears to be discriminatory and tyrannical actions.
To whom it may concern,
I am alarmed at the new regs that I understand you are considering re: leveraged and inverse funds.
I use them for a hedge not a ridiculous amount of leverage.
I appreciate you looking out for me but I've been licensed several times, I majored in finance in college, and I've taught financial info for over 30 years.
Please, reconsider this action. If you
