Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
The time is now to fix this broken system. I am not leaving.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or“ Commission”) a proposed rule change to amend FINRA Rule 6860 (Time Stamps) of FINRA’s compliance rule (“CAT Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with the exemptive
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I have been investing in Leveraged and Inverse Funds for the last 8 years. I, not you, the regulators should choose how to invest my money. These Funds are very important to my investment strategy.
I should not have to go thru any special process like passing test before I can invest in publicly traded securities
I shouldn't have to go through any special process- like passing a test- before you can invest in public securities,
like leveraged and inverse funds. I am fully capable of understanding leveraged and inverse funds and their risks. Ultimately I am the one responsible for the handling of my money, and these measures should not be imposed.
Me- not regulators should be able to choose the public investments that are right for me and my family.Public investments should be available to all public not just the priviledged. I shouldnt have to go through any special process like passing a test to invest in public securities. I am capable of making inverse and leveraged funds and their risk.
I was in the financial arena for over forty year and have handled my own investmennts for at least that long. I don't need FINRA to tell me how to invest or limit my access to investments I deem beneficial to myself. At 81 years of age, I am not about to submit to your testting of my abilities.
Give it a rest!!
What right do you have to limit mine? Investments should be between my broker and me. You have no business testing, gatekeeping, or knowing my income. Worst of all, cooling off periods? Day traders tend to make multiple trades a day; don't ruin an entire way of life.
Please do not restrict what I may do with my investments. Small investors should not have to pass tests to show their intelligence concerning anything they choose to invest in. All investments should be available to us. I do not need or want these restrictions imposed on me, as I'm sure many of my peers feel as well.
