Stop over reaching and over regulating. Do your job and regulate bad financial advisors, not over regulate investors.
To Whom It May Concern,
lETFs are an important part of my investment strategy. I understand the risks, and want access to these financial tools.
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
Please dont deny us the freedom to choose investments that could help us achieve our long-term financial security
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Individual freedom to select how to allocate financial resources should not be restricted. The price of freedom is eternal vigilance not eternal restrictions
I want the right to use my money and place it in whatever financial institution I decide! It's my monet, I will do as I please!!
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Mutual Fund
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to amend the NASD confirmation rule,
Don't increase stifling rules on trading. These rules won't help to democratize financial services but make them more elite.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA Rules.
