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Please do NOT limit my ability to invest how I see fit. If there is no test at the polls to check your net worth, knowledge of candidates, or issues, why would you limit investment opportunities? These are public investments and shouldn't be limited to any group.
Regulators should not be able to choose the public
investments that are right for me.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities.
Leveraged and inverse funds are important to my
investment strategies.
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
The Federal Reserve Board's Regulation T and SEC Rule 15c3-3 provide for the possibility of extensions where investors have not promptly met their obligations relative to a securities transaction.
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended claim with
I should be able to choose the public investments that are right for my family and I. I shouldn't have to go through any special testing to invest in public securities, including leveraged/inverse funds. I'm more than capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on Me.
I am able to read prospectuses and make my own decision on investing. I have been investing and understand the risks in it. I should not be limited in what I can invest in. I should not have to take a test or a course to determine if I should or should not invest in an investment. Thank you.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me.
I as a investor should be able to choose whichever stocks or funds I see fit. I research my investments and understand the risks. I do not believe passing a test before I invest is unfair and don not need anyone to hold my hand when coming to my portfolio.