I should be able to choose the public investment that is right for me and my family. Public investment should not just for privileged few. FINRA interest shows private few to get benefit out of PUBLIC fund. I object the restrictions or any measure introduce by FINRA on publicly traded fund.
I should be able to choose the public investment that is right for me and my family. Public investment should not just for privileged few. FINRA interest shows private few to get benefit out of PUBLIC fund. I object the restrictions or any measure introduce by FINRA on publicly traded fund.
I should be able to choose the public investment that is right for me and my family. Public investment should not just for privileged few. FINRA interest shows private few to get benefit out of PUBLIC fund. I object the restrictions or any measure introduce by FINRA on publicly traded fund.
Bob Getty finds these new attempt at rules to be just more government -sticking its nose were it does not belong -butt off and stay out of peoples private lives and cut taxes and inflation -do the real job that you are paid excessively too much for inept work !!!!!!!
Investing is a personal right and should not be regulated away from private individuals. The things you should be regulating and/or stopping is the back-door dealings the elected officials are allowed, by turning a blind eye. In turn allowing them to make millions from these dealings while in and after leaving public office!
I think the SEC should stop limiting more financial products for only accredited investors. General retail investors are already not allowed to invest in alternative assets such as VC, PE, growth equity and private credit funds that have consistently generated significant alpha over public market returns
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to Conduct Rule 2710. The proposal will provide greater clarity and predictability regarding when securities acquired by members and their affiliates in private placements will be deemed to be underwriting compensation. While securities acquired by an underwriter within 180 days
Any regulation impeding the right of private investors to invest their own money as they see fit violates the freedom of commerce and freedom of association long understood as logical extensions of the Bill of Rights' 1st amendment protections of free speech, petition and assembly, and has no place under American constitutional law.
Please don't hurt the little guy by removing these valuable tools that enable small investors, at very low cost, to protect our nest eggs against big drawdowns. Big investors have ready access to these sort of tools, but as a small private investor I won't, if you remove these from the marketplace.
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
