Private investors understand the risk. My question is why are you proposing this?. I dont see a public outcry of investors saying they were uninformed. Youre claiming a need to put out the smoke when there is no fire that started it.
I can make my own decisions, thank you very much. I can limit my exposure by choosing not to purchase, purchase a small amount, or as much as I want. As a former banker, somewhat successful businessman, and a veteran, I believe I understand risk better than any government employee, who enjoys a risk less salary, risk less retirement, risk less employment, risk less tenure and benefits that exceed
I am contacting you to express my opposition to the proposals in Regulatory Notice 22-08. I see no justification for FINRA to restrict public access to any publicly traded financial products, including leveraged EFTs. These securities provide an efficient and economic vehicle for small investors to hedge portfolio risk, a strategy that has now become critical in the aftermath of more than a
No one needs any measure of exam in order to invest. Any one can and should be able to choose public investments that are right for me and my family in any way shape or form. Public investment can and should always remain available to the public. No one should be excluded in any way shape or form. What is being done is trampling on the rights of the private citizen as a worker and as a provider.
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
Firms may adopt different cloud models, depending on their needs and preferences. Each model provides different features and implies different trade-offs. Models are generally categorized into the following:12
Public cloud: In this model, cloud services are made available virtually over the internet to users and are operated by a cloud service provider. The cloud provider hosts and operates
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
FINRA Rule 2330 (Members’ Responsibilities Regarding Deferred Variable Annuities) establishes sales practice standards regarding recommended purchases and exchanges of deferred variable annuities, including requiring a reasonable belief that the customer has been informed of the various features of annuities (such as surrender charges, potential tax penalties, various fees and costs, and market risk); and, prior to recommending the purchase or exchange of a deferred variable annuity, requiring reasonable efforts to determine the customer’s age, annual income, investment experience, investment objectives, investment time horizon, existing assets and risk tolerance.
Please stop telling small private investors what they can and cant invest in; our money is green like everyone elses and if we want to take the added risk of leveraged investments we should be able to accept that risk and do so. Requiring accredited investor status is particularly egregious as it excludes 90+% of investors. Its 2022, people are more educated about investing than ever and we need
