I clicked over to a website that does not support the proposed rule, but I *DO* agree with the limitations being proposed. I was Series 7 and Series 63 licensed, and have seen many people maneuvered into investments that neither they nor their financial advisors understood. The results can be devastating. I think it might be better to do a two-pronged approach with limits on the types of
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 29, 1994, the following 49 issues joined the Nasdaq National Market, bringing the total number of issues to 3,725:
Symbol
Company
Entry Date
SOES Execution Level
BDTC
Bio-Dental Technologies
8/30/94
200
FCNB
Corporation FCNB Corp.
8/30/94
200
CCIL
Cellular Communications International,
I should be able to choose any investments that I feel are good for me and my familys financial future without having to go through any special processes, testing and/or approvals from others. I have being using leverage and inverse funds to my advantage especially during very volatile markets. I have been using them to my benefit now since 2018. I presently use these funds and this is an
Attn: FINRA I do NOT want to be restricted as to when and how I invest my monies for my personal financial satisfaction. I've had to invest outside of a major brokerage; now choosing ProShares funds for this reason. I'm a senior citizen with many years of managing my own investments and am well aware of the risks life and ALL investments present and do NOT need to be further advised. Do
Im a college student so I dont have much, and Ive been investing with different platforms to secure my future. However if I cant invest in whatever company I choose, then that is ridiculous. If some investment choices are locked up to me especially because of my net worth then that is a huge infringement on my rights and I wont stand for it. Again Im a college student so I dont have much
This is government Over-Reach Constitutionally guaranteed freedoms require: I must be able to choose the legal public investments for myself and your family. These public investments must be available to all of the public, not only the privileged. Any special process or test required before investing in public securities violates guaranteed freedoms of speech and association and is only intended
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of August 24, 1993, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,238:
Symbol
Company
Entry Date
SOES Execution Level
OMEG
Omega Environmental, Inc.
7/26/93
1000
MPFC
Mountain Parks Financial Corp.
7/27/93
500
XLTCW
Excel Technology, Inc. (2/8/98 Wts
I strongly oppose restrictions on my right to invest in public investments. Public investments should be available to everybody, not just the 1% and other elites. I am an adult and am capable of understanding the risks involved with investments, and should be free to place my money in investments if I so choose - there should be no special hoops or processes like passing a financial literacy test
Regulating my abilities and rights to invest as I see fit is my decision not yours. These types of moves are what would be expected from Russia or China not the USA.
Should I deem an investment appropriate for my portfolio it should be available to me not just the financially privileged. Are you trying to expand the economic gap that already exists between the wealthy and the no-so wealthy?
I
<p>Cash rebates issued to pension plan customers with respect to secondary market transactions in outstanding securities (under former Article III, Section 24, now Rule 2740 and IM-2740).</p>
