Dear FINRA,
I feel that there is already too much regulation with respect to what FINRA considers complex investments. In fact, these products allow investors to protect and hedge their investments in market downturns. Moreover, these products allow investors to learn about markets in the least expensive way. For example, the inverted and/or leveraged ETFs cost less and are way more preferred
To whom it may concern,
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST!!!
Every individual investor, not regulators, should be able to choose the public investments that make sense for them and their families. Furthermore, public investments should be available to ALL of the public, not just the privileged investor.
It is disturbing that more and more regulations are being imposed on everyday
Regulators need to keep their noses out of investor's business. We should be free to choose which investments we purchase, or ignore. Not only does making regulations more strict go against the very nature of the United States, it could greatly endanger those holding positions in those securities as holders could be forced out at inopportune times leading to forced losses BY THE REGULATORS.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 6, 1984, the United States District Court for the District of Oregon appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSR8 Rule G-12
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier,, Fail-Control Department
On January 31, 1984, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts.
To Whom it May Concern: As an educated citizen of the United States of America, I should have the right to invest in securities that best suit myself and my family. Since I am educated, I have the ability and the responsibility to be informed about the positions I purchase and the investments I make. As such, I can benefit from the profits and bare the losses of my own decisions. The government
(a) Representing Oneself
In any proceeding, a person may appear on his or her own behalf. When a person first makes any filing or otherwise appears on his or her own behalf before an Adjudicator in a proceeding, he or she shall file with the Adjudicator, or otherwise state on the record, and keep current, an address at which any notice or other written communication required to be served
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On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice provides updated guidance to members regarding SEA Rules 15c3-1, 15c3-3, 17a-5, Rule 204 under Regulation SHO, FINRA Rules 4210, 4230(b), 4521 and 4524, and Federal Reserve Board Regulation T in the event of such an unexpected close.
