(a) Acceptance, Waiver, and Consent Procedures
(1) Notwithstanding Rule 9211, if the Department of Enforcement has reason to believe a violation has occurred and the member or associated person does not dispute the violation, the Department of Enforcement may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Dear Finra
I oppose restrictions to my right to invest.
We have went through the risky period including 2008-2009 Financial Crisis, March 2020 Covid panic with the help of leveraged/inverse funds which assit us to control the risk. The freedom of investment is part of democracy. If there is not much choice of investment, we wont invest in this market. Please do not restrict our right of
I dont understand why anyone would make it hard and try to regulate or boycott any individual, no matter how much knowledge they may have, or how much capital they feel like investing. It feels like they are trying to take even more rights away from people in order to keep people in financial categories. Its our human rights and natural nature to want more of anything that we have or aquire.
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
These rules and regulations are for the rich to stay rich and so the retail average investor has little to no chance. Larger investors simply have the capital and can just buy their way into privilege. Someone's access to financial products should not be limited to their class as your access to medical care should not and is not limited to your class race or anything for that matter. We all
I do not want to forfiet my right to invest in whatever financial vehicle is available to me. Everyone is smart enough to learn whatever is needed before making an investment. The last thing I want is to be guided by some commissioned broker who only wants to pad his wealth using transaction volume for his commision fee. In summary, like anything else in life, let the individual choose. That
Every body should be able to invest in the securities you propose to legislate. The information about these securities is widely available and well documented. In addition, the average person does not have the insider information that the likes of Nancy Pelosi and Chuck Schumer have in order to make millions off the stock market. As is the case, regulating the average American away from the
Leverage and inverse ETF is important for my portfolio for profit and risk hedging, why do you want to limit my right? Wall Street big whales are using more complex financial derivation to achieve similar purpose with much higher leverage than common leverage etf(3x) , is it fair to limit individual/retail investors to do so? Please stop this and let us trade leverage & inverse etfs.
It is not the responsibility of FINRA to limit my access to publicly available investment vehicles. The investments under consideration for restriction have clear, concise, and readily-available prospectuses that explain the risks and further restrictions or tests should not be permitted. Financial and securities restrictions should exist to protect investors from illicit or deceptive practices;
