A proof of competency will automatically segregate out those of a different background either due to the education system they were forced into by their location or if English isnt their first/native language. Investments should not be up to regulators but the individuals.
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For purposes of the Rule 11890 Series, the terms of a transaction are “clearly erroneous” when there is an obvious error in any term, such as price, number of shares, or other unit of trading, or identification of the security.
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.01 Refusal to Abide by Rulings. It shall be considered conduct inconsistent with just and equitable principles
Please support crypto but not over regulate it. We are aware of the risks. We do not want heavy government involved. Leave us alone. Every financial system you have touched is destroyed.
The only people that these restrictions would benefit would be wealthy individuals with inside information. The Pelosi's have enough money. Stop stacking the system against people like me. Oh, by the way ... I vote.
Now that the Government is developing its own crypto currency system they want to relate free market crypto..
Feels like a massive conflict of interest to me and infringes on our right to do commerce.
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Mr. Chairman and Members of the Committee: NASD is grateful for the invitation to testify regarding self-regulation in the securities industry. NASD commends the Committee's efforts in reviewing the self-regulatory system.
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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
