It is unjust for the government to restrict the public's rights to invest while allowing the wealthy and only those who pass a test to invest.
We should be tested on our competency of markets to prevent uninformed decision making that can alter our entire lives.
I should have the freedom to choose the public investments without going through any special process like passing a test !!
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
NASD has filed with the SEC a proposed rule change to (1) amend NASD Rule 3010(g)(2) to revise the definition of the term "branch office"; and (2) adopt IM-3010-1 to provide guidance on factors to be considered by a member firm in conducting internal inspections of offices. The purpose of the proposed rule change is to facilitate the creation of a branch office registration system
Industry Governor (Large Firm Representative)Chairman Emeritus, Director, MML Investors Services, LLCGovernor Since 2024Committees: Executive Committee, Finance, Operations & Technology Committee (Chair), Regulatory Oversight CommitteeProfessional ExperienceChairman Emeritus, Director, MML Investors Services, LLC (2007 – Present)Head of MassMutual Financial Advisors (2007 – Present)Vice
Public investments should be available to everybody. I should not have to take a test or hire a broker or get a note from my mommie.
Guidance to Members Affected by Hurricane Sandy
I do NOT need a test to invest! It's my right to do as I wish. My decision should not be guided by no one except myself.
I am not a regulator and want to be able to invest as needed without tests and other restrictions. Inverse funds are a needed tool to balance risks
