I understand the appeal to expand the nanny-state. So many people out there want to blame others for their poor decisions. I believe that as a functioning adult we make choices and we live with the consequences of those choices. Always looking for the government to bail them out or to create rules that permit those making the poor decisions to see redress when redress should not be allowed, robs
WoW! Last I understood, capitalism and the right to individually flourish in the U.S.A. was available to everyone. My mother came here legally for this reason, and so I can benefit from my own efforts here as well. If my funds disappear due to my lack understanding or misjudgment, THAT is my decision to make and no one else's. This proposed rule is highly elitist. Public trading should be
These investment options are critical to managing portfolio risk for many individuals. They should be available to all, and not just the elite. Implementing a rule such as this would allow the rich to continue to grow wealth while not providing the same opportunities for less wealthy individuals. Everyone deserves the right to decide what instruments they want to invest in. It should be for
FINRA has no business or right to regulate or limit the products in which private investors place funds. I understand and accept the risks of my investments in all types of funds. They are my funds to invest, not yours. An investment prospectus is sufficient to inform investors of the objectives and risks of any investment. Attempting to regulate who can and cannot invest in any fund, based on an
I wanted to voice my opposition to SEC Proposed Rule #S7-24-15. As a consumer and investorI feel it is might right to choose investments that I have researched and vetted while being free of regulatory restrictions. The SEC needs to understand that with the Internet people are more informed than in the history of investing in the United States and are able to make informed decisions without
This ruling goes against the rights of all types of investors. You will have millions of u.s. investors leave the markets for good, if the markets can only go up with no inverse to be a cobtrarian vehicle to the ebbs and flows of the market. Shame on finra lately and the top 5%. Let the class warfare begin. Shame on you guys over at govt. agencies. Specially the tsp plans of the military to shut
New Default Procedures Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registration
Senior Management
Arbitration
Default Procedures
Dispute Resolution
Registration
Suspension
Termination
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
• Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
FINRA Rules 2010 and 103301
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
See Principal Considerations in
FINRA Expands the Order Audit Trail System to All NMS Stocks
