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I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
Simplifying digital interactions with FINRA to reduce compliance costs and enable more effective compliance programs.
The public needs more transparency and FINRA should put out as much legitimate and accurate information as possible so the “good guys” can at least START to TRY to put an end to the massive corruption and manipulation of our “FAIR & FREE” markets.
Hello, I heard about the information that you potentially limit the trading of some ETFs using leveraged and reverse strategies. I strongly be against it, because I believe it's my right to choose the public investments that suit for my family and myself, not the regulators. Moreover, these ETFs are important to my investment strategies. So, please respect the rights of individual
Similar to your accredited investor restrictions in Alternative Investments, you are doing more than you are worth. If people are not researching/making informed investing decisions then that is their prerogative but why do you feel the need to restrict those of us that have? Another waste of tax payer dollars through a bureaucratic government agency pretend to play the role of parent
Any politicians that go against the average Joe. Will lose votes. We the peopleh ave a right to invest. We the people hire The Government. We can replace you all. If you go hard against Us We will vote you out. Think about it. Informed Voter Sir Mark L Erwin 1st
Individuals have a right to invest their money where and how they see fit. I do not have an issue with brokers issuing notices and warnings to investors before they invest in risky securities. However many of us have done their due diligence when it comes to research and risk analysis. The role of regulators in this particular case should be to INFORM, not restrict.
I do not need nor do I want a nanny to tell me what I can or can not do with my own money. It should not matter how much or how little I have to invest. It is none of your business whether I have educated myself in safe or responsible investing. What you should be policing is fraud and misleading investment information.
I should be able to choose my own investments. There is plenty of information available for understanding the risks and benefits of leveraged and inverse funds. They are an extremely important tool for hedging other investments. FINRA should not limit my ability to manage my own investments as I see fit. All public investments should be available for anyone to buy, sell or hold.
Public investments should be available to all investors, not just the privileged. I am capable to understanding the risks and making decisions on what is best for my portfolio. All financial decisions have risk, including doing nothing. There is sufficient information presently available in a variety of channels to educate the public of the risks which makes this legislation unnecessary and