SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® Select Committee on Structure and Governance (Select Committee), also known as the Rudman Committee, has proposed significant changes to the manner in which the NASD operates. After substantial discussion, the NASD Board of Governors adopted the proposals in substantially the form
Please kindly understand you Do Not know what's good for me, re my investment strategies and/or my utilizing leveraged derivatives for essential short term trading income.
I do not need nanny-state "testing" to demonstrate my already evident knowledge. I have already passed a far more difficult multi-decade "exam" -- i.e., my historic success in this
Guidance to Members Affected by Hurricane Sandy
Stop implementing elitist policies. Let everyone invest. This will have the same effect as literacy tests for voting, and is a violation of the right to pursue happiness
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
Individual investors should have right to select funds for their family that they deem necessary. No regulators. No progress to pass test, the prospectus exists for a reason.
I oppose restrictions on my rights to invest. And I should not have to pass a test just simplify the information for everyone to make better choices for investment
I should be able to choose which investments I want to make.
I shouldnt have to take any special tests or ask for approval form a broker.
I should be able to choose what I want to invest in without being tested, I do not a regulator telling me what I can and cannot invest in.
Public investment should be available for everyone, I should not have to go through any special process or a test in order to invest in public securities
