Please do not limit my access to these funds. I perfectly well know what I am doing and do not need the additional administrative burden of complying with whatever "tests" are created.
Me-not regulators-should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged few. Tests are controlling.
Please don't limit my ability to invest in inverse funds without passing tests and reading large amounts of data. I am capable of understanding inverse funds and their risk.
I have been using inverse etfs for years including vxx and sh, etc and I understand them I feel i should be able to continue using them without taking a test.
Let the public make their own decisions - not the regulators - and choose where to invest. one should not have to go thru any special process or test to buy investment products
Dear Regulators,
How else can you exclude me (us) from the chance to acquire some wealth?
I have managed my personal finances for decades and with much success, my investments, me not a broker, not a firm, but me/myself.
My ability to choose my course of action is mine, not yours. This is a capitalist society, why should you tell me where to invest. These are legal public options. Although,
TO: NASD Members Participating in Sales of Direct Participation Program Securities
The National Association of Securities Dealers, Inc. is circulating the attached questionnaire to members which participate in sales of direct participation programs in order to ascertain the level of interest in a communications service that would disseminate information about DPPs to members and sponsors. This
(a) Designation of Chief Compliance Officer(s)
Each member shall designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
(b) Annual Certification Requirement
Each member shall have its chief executive officer(s) (or equivalent officer(s)) certify annually,1 as set forth in paragraph (c), that the member
GUIDANCE
Automated Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Away from the Market Sales
Odd-Lot Transactions
OTC Options
Regulatory Transaction Fee
Section 3 of Schedule A to
NASD By-Laws
Transaction Reporting
Executive Summary
On June 12, 2006, the Securities and Exchange Commission (SEC)
approved SR-NASD
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
