Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
Make SI private and only for the purpose of enduring that shares held short are not greater than the float. Investors are tired of the memesters manipulating markets trying to force shorts to cover/margin calls.
I only have one issue. If it's 'PUBLIC' stock then I should be able to buy - isn't that what public is? That's all: PUBLIC = PUBLIC // PUBLIC = PRIVATE- make up your mind regulatory - thx for reading.
The government has no right to involve themselves in my investment activities that is private and personal. They should spend their time working of realistic laws that do not effect my ability to earn. This is just wrong on so many levels.
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Baltimore, MD
September 17, 2019
8:00 a.m. – 8:30 a.m.
Registration
Continental breakfast
8:30 a.m. – 8:45 a.m.
Introduction
Welcome Remarks
8:45 a.m. – 10:45 a.m.
Session 1 – Social Media and Digital Communications Compliance
Discuss the content and supervision standards that apply to all electronic communications
Discuss guidance about social media sites
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
I understand that you are trying to place these restrictions on the sale of complex securities to protect consumers, and I support warning systems that prevent scams and fraud, but I think it is best to let non-accredited, private investors make their own investment decisions at the end of the day.
I oppose limitations on any type investment (complex or simple) based on individual's net worth or economic basis. It is exclusionary and does not provide the equal opportunity that our society (in both the public and private sector) is fighting so hard to do.
The private investors should be able to choose the investments he desires to buy in the service of building wealth for his family.
I have used leveraged and inverse funds to great success in hedging my bets against the changing investment landscape.
