Dear Sirs, As a US citizen, I believe I have the right to choose my own investment for myself and my own family using any public investment vessels. This right should come with no further official regulation to decide if I am qualified in knowledge or risk taking since it's my own decision based on my own due diligence. In the past 20 years, Fed kept relaxing credits in order to save
Comment Period Expires: February 24, 1997
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NASD Regulation, Inc. (NASD Regulation) requests comment on the use by NASD® members (securities broker/dealer firms) and their associated persons of bond mutual fund risk ratings in sales literature given to customers. In
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
I not a regulator 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. Wall Street financial advisors are a joke. Anyone can lie the way they do to their clients. I should have access to the same financial products they do. I can decide my financial future better than anyone. Precluding the
Comments:
While optics are ever present around good consumer advocacy policy, creating regulatory burden is not a good way to go about this.
In the strong capitalistic financial environment that the US exists in, retail investors should have the ability to put their money in Leveraged-Inverse ETFs if they so choose as long as they are aware of the long-term risks of holding such financial
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
FINRA Revises the Series 27 and Series 28 Examination Programs
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
