I strongly oppose any restrictions on my right to invest in public investments. I believe it is my right to make investment decisions that are right for me and my family without regulators getting involved in those investment decisions. I know what is best for me, and I believe it is very presumptuous to assume a regulator is more concerned about my well-being and investment decisions than I am
I am sick and tired of government officials trying to protect me from myself. I am fed up with people who think they know what's best for me and want to force it on me regardless of what I think about the matter. The price of freedom is responsibility. I will gladly pay that price. For what is worth I have a finance degree. Have passed securities licensing in a prior career, and
Response to the Financial Industry Regulatory Authority (FINRA) proposed rules on leveraged ETFs Leveraged ETFs may be volatile but it is not more volatile than many individual securities. In addition to uncertainties with individual stocks, Investors are able to allocate the use of leveraged ETFs to diverse their assets to fit their risk tolerance against the effects of a volatile and uncertain
I oppose these proposed rules because I, not regulators, should be able to choose the investments that are right for me and my familys future.
Public investments should be available to all of the public, not just the privileged elite.
I should not have to go through any special processes to allow me to invest my hard earned money how I see fit to best achieve my personal financial goals. I am
I express my disapproval of the possible restriction on the ability to invest by myself, it has been a fundamental advance for me to know that I am capable of planning my financial future while learning along the way about how to make my investment systems more efficient. I have been able to empower myself as well as my children, family and friends to learn and apply financial knowledge in asset
VALDES & MORENO, INC.819 MAIN STREET, ROOM 304, PARKVILLE, MO 64152VALIC FINANCIAL ADVISORS, INC.2919 ALLEN PARKWAY, L3-20, HOUSTON, TX 77019-2158VALIDATE CAPITAL MARKETS, LLC505 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10022VALKYRIE EQUITIES CORPORATION14455 WEBB CHAPEL ROAD, SUITE 201, DALLAS, TX 75234VALLEY FINANCIAL MANAGEMENT, INC.350 MADISON AVE., 4TH FLOOR, COMPLIANCE DEPARTMENT, NEW
Comments: I believe that the foundation of a free market is the ability to choose the financial decisions that we as people make. While I understand that regulation is necessary to create a safe market environment with lower risk and less chance of inexperienced losses, there could be no possible way in which new regulations would be fair to all types of investors. A small percentage of investors
I strongly opposed restrictions on my right to invest in cryptocurrency funds. I understand the concern you may have in protecting people from themselves however you are impeding a fundamental right for individuals which is the right to financial self-determination. To impose restrictions is paternalistic and does not respect the ethical right for individuals to make choices about where and how
October 2002
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
