I disagree because I have the full rights to invest my own money into any assets I desire, and all investors should be aware of the risk as they invest. Tests should not be required as investors should be and are aware of what we are investing into
Crypto assets are not just an investment. They are not just a method of transacting. They are an entirely new technology stack upon which new technologies and relationships will be built. Please allow people to decide how they invest and what innovations they choose to support.
I feel that the government should not restrict my investments. I alone should be in charge what I wish to invest in. I am aware of The risks and it should be my right to invest in leveraged assets As I deem appropriate towards my investment goals.
Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
The Supervision section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
This is ridiculous. At what point are people not responsible for their own decisions? Anyone who buys a leveraged fund should know the risks and reasons they are buying the asset, and if they dont, shame on them. Dont punish the rest of us for the stupidity of a few.
I should be able to choose what investments are right for me and my family... you can provide the warnings so that I know what assets are riskier than others. I am capable of weighing those risks on my own.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of April 27, 1995, the following 53 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,761:
Symbol
Company
Entry Date
SOES Execution Level
SMTC
Semtech Corp.
3/28/95
500
DSTM
Datastream Systems, Inc.
3/29/95
500
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
GUIDANCE
Margin Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Options
Operations
Senior Management
Margin Requirements
Options
Rule 2520
Rule 2522
Executive Summary
On April 3, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend NASD
