The Limited Review program can help to streamline the review process and provide faster clearance for non-shelf public offering filings.
(a) Members must implement policies and procedures that reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security.
(b) For purposes of this Rule, the following definitions shall apply:
(1) The term "crossing quotation" shall mean the display of a bid for an OTC Equity Security at a price that is
Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
I should be able to choose the investments that I would like to invest in without going through special processes like a test. I am capable of understanding how funds work that are leveraged or inverse funds. These types of funds provide the flexibility to add diversity to my investment strategy. Regulators should not be limiting investment options.
It is my belief that a market should be open and fair and that each market participant regardless of funds or experience should be able to have access to the same tools and be able to take on whatever risk they feel comfortable with. By denying some investors access to products and not others, you are creating a two tier system which is the antithesis of a free market. You are also giving one
This is not right. I 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. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds.
Naked shorts need addressed. The system is corrupt.
<p>A member that is an investment adviser may pay a non-member certain fees and not violate Rule 2420 if the fees paid to the non-member (a) strictly follow the requirements of Rule 206(4)-3 under the Investment Adviser's Act of 1940; and (b) are paid from fees and other income that the member has received in its capacity as an investment advisor.</p>
Government and industry regulators should have no authority to prevent or restrict individual investors from investing in securities that are perfectly legal, regardless of an investor's personal understanding of such products. Informing investors is a great thing, but regulators have no right to require investors to undergo any kind of prerequisite educating or testing prior to trading
1. I do not want Government Regulators telling me what to do in deciding my or my family's investments.
2. Why should I pass a test to invest, I am not brokering securities!
3. Leveraged and Inverse Funds are part of my Investment Strategies!
4. What FINRA is proposing is what I would expect from a Communist Government!
