It is not right to limit choices of what I can invest in. Just because I am not a "professional" investor does not mean I don't understand risk. This seems like a misguided attempt to protect people from themselves that will actually result in less ability for people who are not billionaires to make money.
I am also skeptical of any tests you might give, many people
I oppose any restrictions by FINRA or any other regulatory bodies on my right to invest in publicly available investments such as leveraged and inverse funds. You couch your actions as protecting individual investors. We do not need your paternalistic [REDACTED]. Take it elsewhere. There should not be any special process, including passing a test or net worth test, or any of that crap to invest
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 (Supervisory Control System), Rule 3013 (Annual Certification of Compliance and Supervisory Processes), and IM-3013 (Annual Compliance and Supervision Certification) to allow members, by no later than April 1, 2006, to submit the initial annual
The following charges shall be paid by participants for the use of the Trade Reporting and Compliance Engine ("TRACE"):System FeesTransaction Reporting FeesData FeesLevel I Trade Report Only Web Browser Access — $20/month per user IDLevel II Full Service Web Browser Access — Subscription for a single user ID or the first user ID — $50/month (includes one Data Set); $80/month (includes
Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
I strongly oppose any restrictions on my right to invest in public investments. I believe it is my right to make investment decisions that are right for me and my family without regulators getting involved in those investment decisions. I know what is best for me, and I believe it is very presumptuous to assume a regulator is more concerned about my well-being and investment decisions than I am
I oppose restrictions to my right to invest. My money is my money. I should be able to choose whether to invest it or not. If I choose to invest it, I should be able to invest it in whatever way I see fit. A politician should not have any say in how I invest MY money!
I am very capable of doing my own research and take every investment into thorough consideration before investing. I should not
Leveraged ETF's and crypto ETN's are part of my broader strategy in hedging and incrementally fine tuning my use of leverage. Retail investors and traders like myself accept the risk that come with leveraged ETF's, and it's not up to regulators to decide how much risk retail investors should take. Retail investors are capable of understanding the risks
I strongly oppose restricting trading. Everyone has the right to pursuit of happiness per the law. Public investments are public and not private/for privileged/rich that can be assessed with a simple test that some people design who themselves may fail when assessed by people with different mindset. Similar to an education degree does not guarantee that they will become Einstein's or
I am a successful investor with many decades' experience. Every investment I ever made required me to analyze the risks. Some worked and some failed. I will make my own decisions. The notion of passing a regulator designed test of risk sophistication is ridiculous, frankly insulting. The entire lot of your staff has no more - and probably less - risk assessment expertise. Why should I submit
