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Executive Summary
The Securities and Exchange Commission (SEC) is requesting comments on proposed amendments to the broker/dealer books and records rules. The proposed amendments clarify, modify, and expand recordkeeping requirements with respect to purchase and sale documents, customer
Please reject this proposal to hamper the ability for individuals to freely invest in the market based on their own decisions about risk and reward. No investor has asked for guardrails to be put up around these products. In fact, it only seeks to further limit the free market instead of truly protect people. Requiring a certain net worth or level of investment to qualify for purchase of an
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
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
The Observations on Cybersecurity section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
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
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 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
Transparency in every corner of financial reporting is REQUIRED... NO EXCEPTIONS! Any changes within short sale reporting should spread more transparency and penalties for inaccuracies whether, intentional or not should be heightened to maximum. Financial white collar crimes are not taken serious enough
