Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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.
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.
A vibrant and efficient capital-raising process fosters business expansion, job creation, innovation and economic growth. FINRA members play a critical role in facilitating capital formation for businesses of all sizes. FINRA supports the capital-raising process through appropriately tailored rules for its members that are designed for the benefit of all market participants.
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Comment Period Expired: December 2, 2002
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There is no valid reason to restrict freedom of investment in this way. If the United States continues to restrict freedom then a more competitive system will replace it. If these investment products are available to wealthy Americans then they are good enough for every American.
<p>Exemptive request denied: the OATS Rules do not provide NASD Regulation with the authority to grant exemptions from any of the OATS requirements.</p>
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Notice
An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under Rule 9620. The notice of appeal shall be
