SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining
Executive Summary
The Board of Governors, acting on the recommendation of a special Ad Hoc Committee, is clarifying the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to the investment advisory activities of registered representatives. This Notice describes those
I know what I am doing in investing. Government has NO BUSINESS budding into my financial affairs under the guise of 'protecting me'. I should not have to go through special process. You are not my Mom or Dad. I am more informed, MBA PhD than most of your regulators. I have invested in leveraged funds successfully for over 30 years. I do not need government (uneducated) to educate me or
1. I not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
2. I shouldn't have to go through any special process like passing a test before you can invest in public securities,
including cryptocurrency funds such as BITO. Explain
I am totally opposed as an American citizen to have FINRA regulators in essence restrict my right to invest in leveraged and inverse funds. It's one thing to protect American citizens from scams and shady financial dealing; it's another thing to start regulating the amount of risk I can assume.
Forcing me to take a test and prove my ability to invest in these types of
I am fully capable to make my own decisions regarding investments. Limiting public investments to a specific few people is directly contrary to the free market system. I am capable of educating myself and do not need a government agency creating a test to determine if I am ready. I do not need someone else to tell me what I am capable of, or if I understand the risks well enough to make good
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, including cryptocurrency funds such as BITO. Explain that you are capable of
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST I should not have to go through any special process like passing a test before I can invest in public securities, including cryptocurrency funds such as BITO. I am capable of understanding cryptocurrency funds such as BITO and their risks. I do not need these measures imposed on me. I " not regulators" should be able to choose the public
Thank you for the opportunity to comment on the above propose rule. Individuals should be able to choose the investments that are right for them and not be limited by criteria established by regulators. Information is required to be readily available from the financial companies offering the investment that describe the risks associated with each type of investment in the form of a prospectus or
In a country where tobacco, alcohol, predatory loans and various forms of gambling are freely available and offten pushed toward the most vulnerable members of society with the blessing of our government your investor restrictions seem laughable. To say the USG actually cares about small investors is ridiculous. If you want to help, then set up programs in schools to educate children in personal
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of February 9, 1990, the following 13 issues joined NASDAQ/NMS, bringing the total number of issues to 2,685:
Symbol
Company
Entry Date
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