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. Accredited investor and qualified purchaser rules already restrict high-yield and historically lucrative investments to the highly affluent.
This is completely unacceptable. If I as an investor decide to take a calculated risk based on my research, that is my decision to make. There shouldn't be any hindrances on how I invest my capital since I am assuming the risk. This rule effectively decides the investor's risk tolerance for them.
Good gracious, where did this proposed rule S7-24-15 come from. I am a prudent retain investor that uses inverse ETF's sparingly to reduce the risk from decline in long held positions. Inverse funds are important to my investing strategies.
Proposed Rule Change to Revise the Series 23 Examination Program
Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
SUGGESTED rOUTING
Senior Management
Continuing Education
Legal & Compliance
Executive Summary
The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1
• 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
(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below. The Director may defer payment of all or part of the filing fee on a showing of financial hardship. If payment of the fee is
(a) General
This Rule 5190 sets forth the notice requirements applicable to all members participating in offerings of securities for purposes of monitoring compliance with the provisions of SEC Regulation M. In addition to the requirements under this Rule 5190, members also must comply with all applicable rules governing the withdrawal of quotations in accordance with SEC Regulation M
FINRA Rule 1017 requires advance notice—but not prior approval—of changes of ownership or control in the form of a Continuing Membership Application. Form CMA must be filed at least 30 days prior to making such a change to give FINRA an opportunity to conduct a preliminary analysis of the change based on FINRA Rule 1014.A firm may affect the change before the final, written decision is
