Dear Sirs/Madams,
As a retail investor, this is a terrible idea. Brokerages already offer nearly unlimited exposure to leverage with options, futures, futures options, and other products; not to mention 4x margin availability to even relatively small account-holders. Restricting access to some polymorph of accredited investors will only deprive informed retail investors of one of their few hedge
I oppose restrictions to my rights to invest and the rules should apply to all, not just the wealthy or privileged.
I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
Everyone should have equal rights and equal access to ALL investments without restrictions and
I use leveraged and inverse funds sometimes to hedge or balance positions or respond to geopolitical changes: it is difficult enough to profit in the market without more unnecessary regulatory hurdles I have not encountered any of these ETFs that were especially opaque, hard to understand, or misleading: these products' labels do not need to be any clearer than they already are, nor
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Executive Summary
Members that transact business in securities designated in The PORTAL™ Market, which are not PORTAL participants, must notify the NASD of certain summary information about the volume and frequency of transactions by June 15, 1995.
Introduction
The Nasdaq Stock Market™ operates The PORTAL Market for
Regulators need to stop dictating what we as investors can and cannot due. The proposed regulations in rule 22-08 are akin to discriminatory voting test or other suppression tactics which have been used to disenfranchise broad demographic groups. All investments should be open to all. Regulations cannot protect us from ourselves. Restricting certain investments to high-wealth individuals or other
To whom it may concern,
I am sick and tired of government intervention in Americans daily lives. The excuse is always that
its for your protection We want the government to stay out of our lives. If we make mistakes, that are ours! You havent dumbed down America enough yet, and well see that you never do. Stay out of our lives, investments included. Our founders wanted as much individual Liberty
The proposed rules are completely ridiculous since the United States is far behind the developed world and any kind of blockchain or cryptocurrency regulation the United States must 1st establish procedural laws and regulations around crypto that provide clear guidance to the citizens on how they can invest in and own cooker occurrences and cooked occurrences depending on the type should not even
It is an absolute outrage that a group of people who happen to have jobs regulating how people can invest their own hard working money who are now only allowing those elites who have a higher net worth than the rest of hard working middle class people is completely wrong and against Americas whole foundation of freedom and sovereignty. You dont work your whole life and build wealth because youre
This page provides electronic access to materials for registered attendees of the 2019 FINRA New York Region Member Forum. Materials are also available electronically via the conference app. Please check back regularly as we continue to add session materials; all materials will be posted by the start of the conference.
Session Materials
Thursday, December 12, 2019
9:00 a.m. – 9:05 a.m
