No government should regulate how investors allocate their funds among various financial instruments. It is our risk to bear and nobody elses.
HELLO, THERE YEAH, IT SHOULD GO WITHOUT INSINUATING OR SAYING THAT A PERSON'S FINANCES AND FINANCIAL WELL-BEING SHOULD BE UP TO THE INDIVIDUAL PERSON TO CONTROL !
Financial instruments in America should not be concentrated amongst only the wealthiest. Expand Fin Education and allow all persons to choose their invesments.
I'm an adult and I don't need the Financial Industry Regulatory Authority restricting access to funds. I know the risk and it's my money.
I should not have to go through a special process or be subject to other governing agencies for investments I see best for my financial situation
Being able to invest in a variety of different securities is essential to my financial security. I want to have the freedom to invest in funds such as BITO.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested
Do not deny my freedom to invest in any financial product that is approved by actual regulations. More and restricted regulations are not in favor of a diversified portfolio.
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
Please let investors invest freely. Take risks and rewards on their own judgment. Financial markets should be open to all participants.
