Investments that I've personally picked have been better performing than those of financial advisors. I have an MBA in Finance and am educated enough to make my own financial decisions.
Im writing to provide strong rebuke of FINRAs Regulatory Notice 22-08 and its attempt to limit investors/traders (I/Ts). What FINRA is proposing is tantamount to treating I/Ts like immature children. Its highly evident in the statement FINRA released: However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks.
As of March 27, 1995, the following 34 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,740:
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Symbol
Company
Entry Date
SOES Execution Level
CYTOR
Cytogen Corp. (Rts 1/31/97)
2/24/95
200
CYTOW
Cytogen Corp. (
I strongly oppose regulations that would limit my ability to invest in inverse funds, and to a lesser degree leveraged funds. Financially, this is censoring my ability to invest in financial trends as I see them.
INFORMATIONAL
Advertising Modernization
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rule 2210
Executive
I would like the option of having all financial tools available to me in order to make the best possible decisions regarding my financial well being. This includes being able to use leveraged and inverse funds
• Branch Offices—Failure to Register
• Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
• Continuing Education (Firm Element)—Failure to Comply With Rule Requirements
• Continuing Education (Regulatory
Freedom of choice in investments for individuals is paramount and puts the power back in the hands of citizens instead of the monolithic financial industry. Please support us to maintain the tools to adequately construct our own financial futures.
As an investor I should be able to make my own investment decisions without any oversight from regulators. I educate myself before I make any financial decisions. Stay out of my financial well-being.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a historical Consolidated Audit Trail (“CAT”) recovery assessment designed to permit FINRA to recoup its contributions to recoverable historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022.
