REQUEST FOR COMMENT
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Legal & Compliance
Senior Management
Central Registration Depository
If I wasnt comfortable with my investment choices I wouldnt make them. I conduct all relevant research before making an investment and leveraged and inverse securities are no different. My broker provides sufficient information with respect to the risk of the investment and I dont believe any additional conditions are necessary from regulators.
I oppose restrictions to my investment decision. I do not need anyone's approval to invest my own hard earned money in a FREE society. I am capable of understanding written information and to not need BIG BROTHER's approval or protection. I strongly oppose restrictions to my right to invest MY money.
I oppose restrictions to my right to invest in public investments.
I should not have to pass some arbitrary "test" in order to implement the investment strategies I think work best for myself and my family.
Opening up investments to everyone will lead to a more informed public and a more transparent investment environment.
Hello, I should be allowed to choose the investment of my choice. I am always provided a prospectus or information concerning the risks of investments. I use a small portion of my overall investment allocation to invest in inverse funds. It is not fair to consider any type of mandates, classes, additional education to invest in these funds.
You should be worried about Congress using insider information to enrich themselves. If the general population wants to risk THEIR money, its THEIR choice if you do this, the effort to make the rich richer while the poor have no hope will become obvious. Let them eat cake is a bad strategy
There is no further need for the government to >further< limit my access to leveraged investment funds. Information on the risks is made available to investors and it clearly lays out the uses and risks of these investment products. I(we) do not need further government intrusion into this area of our personal investment decision making and choices.
Investors should be able to choose their own investments, regardless of the risk. They bear their own responsibility. SEC should not limit an investors ability to choose their own investments. We know every investment bears risks, and there is plenty of research and information available for investors to make their own decisions for themselves and their families.
Please stay out of my choices as to what securities I purchase. You should restrict your activities to insuring that the information which I receive is complete and accurate and not decide what I should or should not purchase. I have NO confidence in the judgement of a government bureaucrat who does not know what the real world is.
1. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), what is the format of the LTID and the optional suffix?
2. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), how should Unidentified Large Traders be designated?
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