SUGGESTED ROUTING
Senior Management
Continuing Education
Institutional
Operations
Registered Representatives
Systems
Trading
Training
To ensure that members fully comply with Securities and Exchange Commission (SEC) Rule 11Ac1-1 (Rule 11Ac1-1 or the firm quote rule), NASD Regulation, Inc.,
You 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'm capable of understanding leveraged and inverse funds and their risks.
I should be able to choose what is right for my investment portfolio. If I make the mistake and not do my research then its my own fault. I shouldn't have to take a test when its my own money im investing.
Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee (Chair), Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President
I want to retain my right to choose public investments without having to pass a test or other special process. I am capable of understanding leveraged and inverse funds and their risks.
Please do not restrict my right to invest in public investments.
We would like to have the choice to invest in leveraged and inverse funds and ETFs, as they play an important role in my investment strategy. I am capable of understanding these unique products and associated risks, and do not need any special purpose tests.
I 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 a privileged few. I should not have to go through any process or test to invest in public securities.
Please be advised that leveraged and inverse funds are important to my investment strategies. I should not have to go through any special process or testing before I can invest. Public investments need to be available to all, not just the privileged. Thank you,
Your brokerage account statement is a valuable source of information about your investment accounts and opportunity to spot mistakes or potential misconduct. If you see a transaction or entry you don’t understand or didn’t authorize, immediately call the brokerage firm or your financial professional to request an explanation.
I'm capable of making my own investment decisions without passing some sort of test to do so.
I use these leveraged funds as an important part of my portfolio. Everyone should be able to use them, not just wealthy people.
