It is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. It upends Our Regulatory System: Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. The FINRA plan upends that principle, giving
SUGGESTED ROUTING
Legal & ComplianceRegistration
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Schedule A of the NASD® By-Laws that permits the NASD to assess a $50 fee for the registration of each branch office and an annual $50 fee based on the number of registered branch offices or the number of registered persons associated
All investments are risky. But everyone should be able to invest their money how they like without having to pass a test or be among the wealthy elite. Let people make up their own minds about whether to invest in leveraged and inverse funds. The option should be available to everyone not just a select few. I have invested in a leveraged fund and it is but one portion of my small portfolio. We
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number
I should be able to choose the public investments that are right for me and my family. We dont want regulators involved.
Public investments should be available to all of the public, not just the privileged!
Acting as the middle man just steals wealth from hard working Americans.
We arent children that we have to pass a test to invest in public securities, including crypto, and we are completely
Both I and my husband are individual investors and what we invest in and how much we invest is up to us as long as we are personally responsible for our own investments. To put the proposed regulations upon us is a great misplaced idea and an unacceptable proposal. I do not need to be told what to invest in or take a test to determine my investment knowledge because as an individual investor I
Publick investment shukd be available to all of the public.Privileged don't need as much to suplement there retirement account as working people. I shoudldin't have to go through any specjal process like passing a test bifore I can invest in publick securitiefs, like leverage and invers funds. There are help on for people who want to learn how to invest in leveraged and inverse fund.
As an adult, I don't need protection from "myself". I have my own ideas of how and where to invest my "earnings". Rhetorically speaking, do you regulate casinos, lotteries or any other gambling activities where millions of dollars are spent foolishly by people who actually think they are investing in a payout? Conversely, do you make suggestions of
In no, way, fashion shape or form does the government have any business telling investors whether they are 'permitted' to invest in any investment and this includes but is not limited to:
1). the regulators have no business telling me what I can or cannot invest in. this is way to much control on their part.
2). I shouldn't have to prove I can invest by going thru
I am absolutely oppose limitations on my ability to invest in ANY equities whether they be leverage/inverse, crypto, volatility-linked funds or any other instrument that I am able to freely invest in today.
If you want investors to limit their risks in any investment, ensure that brokers have educational materials on their websites when someone attempts to buy into what might be considered higher
