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.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Training
Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for
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
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (
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.
Staff in FINRA’s Regulatory Review and Disclosure unit must review and approve all proposed names for firms applying for FINRA membership and for current FINRA member firms seeking a name change. A firm may reserve a name by submitting a completed Firm Name Reservation Request Form.Note: FINRA does not research names for use as Doing Business As (DBA) in states, and the Firm Name
