I should be able to choose any investment that are offered to the public without taking any test or special process. I am an educated person and handle my own finances and with that I do my own risk management.
I fully understand the risks involved in leveraged securities. They are an important part of my long term strategy. I don't think I should have to pass a test to continue investing in these securities, i have made money doing it.
I understand the risks involved in investing leveraged and inverse funds and shouldnt have to go through special test to be eligible. These funds help me with my investment strategies. I oppose this restriction and would appreciate that this be not enacted.
Individuals should have a right to choose the public investments for themselves. To be able to have this right we shouldn't go through anything like a test, approval or cooling time. This right shouldn't be limited to the privileged.
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text
I strongly believe I should be able to choose the public investments that are right for me.
Public investments should be available to all of the public, not just the privileged. Additionally, I should not have to take a test to enjoy the opportunity to invest.
Please regulate the manipulation of our free market system. Companies should not be able to bypass rules set in place following 2008 or we risk another black swan event and lack of trust in our financial system.
When Regulation NMS was adopted, the SEC and market observers did not recognize ex-clearing as a significant loophole. In the original crafting of Regulation SHO (implemented in 2005), the industry told the SEC that ex-cleared trades were "rare". As such ex-cleared trades were exempt from much of the short selling regulations. Dark pool trades (ATS and OTC) in 2021 now make up a
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Restricting individual right to invest in funds or any legal investment is not in the best interest of American citizens. Requiring a test of some sort or sign off on the risk involved would be a better option to address these concerns.
