I am a public investor, I opposed restrictions to my right to invest in leveraged and inverse funds because: - Public investments should be available to all of the public, not just the privileged, I am not a regulator, I am one of the public, so I should have the right being able to choose any public investments; - I understand leveraged and inverse funds and their risks, I should not have to go
I oppose restrictions on my right to invest in public investments. 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 the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and
The SEC needs to stop placing burdensome regulations on the average trader while kowtowing to the rich. Stop over regulating everything! I not regulators 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. I shouldn't have to go through any special process like passing a test before I can
I 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 the privileged. I 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 am capable of understanding leveraged and inverse funds and their
I 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 the privileged. I have been investing since the third grade and have been a licensed broker and am capable of understanding leveraged and inverse funds and their risks. Regardless of my background this is move is over reach and I shouldn
My wife and I not regulators should be able to choose the public investments that are right for our family. Public investments should be available to all of the public, not just the privileged. We 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. We are fully capable of understanding leveraged
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 the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
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
Artificial Intelligence (AI) technology is transforming the financial services industry across the globe. Financial institutions are allocating significant resources to exploring, developing, and deploying AI-based applications to offer innovative new products, increase revenues, cut costs, and improve customer service.1 First developed in the early 1940s, AI technology has gained
