[REDACTED] FINRA for considering such a [REDACTED] idea. Another way to snub the freedom of retail investors. Dumb [REDACTED] making this plan can [REDACTED].
I oppose restrictions to my right to invest because I maintain asset allocation data, and plan to use about 1% of my investable assets in this manner.
I am using carefully designed plan with leveraged funds for retirement purpose. I demand the freedom of investment and opposite the restrictions to my right to invest.
(a) In accordance with Rule 1004 of SEC Regulation SCI, FINRA will designate members that will be required to participate in FINRA's periodic, scheduled testing of its business continuity and disaster recovery (BC/DR) plan. FINRA will do so according to established criteria that are designed to ensure participation by those members that FINRA reasonably determines are, taken as a whole,
Sec. 5.1 The National Adjudicatory Council may be authorized to act for the FINRA Board in a manner consistent with these By-Laws, the Rules of the Corporation, and the Delegation Plan with respect to an appeal or review of a disciplinary proceeding, a statutory disqualification proceeding, or a membership proceeding; a review of an offer of settlement, a letter of acceptance, waiver,
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Dear FINRA:
I am very much opposed to restrictions on my right to invest. This is a great overreach making public investments available only to the privileged few and puts the small investor at a great disadvantage.
I am at the stage in life where I am longer able to work outside the home and plan to use investing to support myself in my later years.
Recently, I have learned how to use inverse
