(a) If a party is added to an arbitration after the Director sends the lists generated by the list selection algorithm to the parties, but before the ranked lists are due to the Director, the Director will send the lists to the newly added party, with employment history for the past 10 years and other background information for each arbitrator listed. The newly added party may rank and strike
I strongly disagree with this regulation. It is rediculous that an investor has to pass a test before he/she can invests. Freedom of investment is part of our freedom / human rights and please respect it.
REQUEST FOR COMMENT
Research Analysts and Research Reports
Comment Period Expires: August 30, 2002
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Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711,
Hello Regulators,
Please do not restrict my right to invest in public options as I choose. There should not be any special processes or tests required.
Thank you for your consideration...,
I should be able to choose public investment that intereste not you the regulators. I shouldn't have to go through special process like a test before I can invest in public investment.
Please do not limit my access to these funds. I perfectly well know what I am doing and do not need the additional administrative burden of complying with whatever "tests" are created.
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 of the public, not just the privileged few. Tests are controlling.
Please don't limit my ability to invest in inverse funds without passing tests and reading large amounts of data. I am capable of understanding inverse funds and their risk.
I have been using inverse etfs for years including vxx and sh, etc and I understand them I feel i should be able to continue using them without taking a test.
(a) Department of Enforcement
With the prior written authorization of FINRA's Chief Executive Officer or such other senior officers as the Chief Executive Officer may designate, the Department of Enforcement may initiate: (1) a temporary cease and desist proceeding with respect to alleged violations of Section 10(b) of the Exchange Act and SEA Rule 10b-5 thereunder; SEA Rules 15g-1
