SR-FINRA-2009-010 - Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
I believe I can trust myself and my financial advisor in making all my investment decisions.
I want to be able to make the choices that affect my financial life without hindrance from the government.
A critical function performed by FINRA Office of General Counsel (OGC) staff is to provide broker-dealers, attorneys, registered representatives, investors, and other interested parties with interpretive guidance relating to FINRA's rules. OGC staff provides such guidance both orally and in writing.
This is unacceptable. As an investor, I should be able to utilize any financial instrument. It should not matter if it is leveraged or not.
I strongly oppose any further regulations by FINRA of leveraged or "complex" securities, especially any potential minimum liquid net worth requirements. Such regulation would be devastating for me personally and would represent a grave injustice perpetrated against many people.
There's a proper role in society for a truly private, voluntary organization that helps
I oppose this regulation, equal playing field is paramount for all investors regardless of income and or financial status.
The social contract is already in tatters; if you do this the financial sector and government will be vilified even further!
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on two proposed rules, National Association of Securities Dealers, Inc. (NASD®) Rules 2315 and 2350, which would require members to review
I'm 10-15 years from retirement as a senior business systems analyst for over 25 years, with an M.B.A. and B.S. Psychology (thus, understand stats, metrics, patterns, cause & effect), who's spent the past 5 years studying financial markets and investing research, primarily so that I can retire sooner or better, but also to better understand economics, markets and business.
