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For Your Information
International Testing Delivery
NASD Regulation is now offering delivery of computerized testing and Continuing Education Session 2-101 (the General Securities Representative Program) in Europe and the Pacific Rim.
Computerized delivery is offered in the following countries:
Sydney, Australia
Hong Kong, China
Paris, France
Frankfurt, Germany
Tokyo, Japan
Seoul,
I oppose restrictions to my right to invest. I should be able to choose public investments that are right for me and my family. I should not have to go thru a special process like passing a test before I can invest in public securities.
I know the risks of leveraged and inverse funds. I use them to enhance my portfolio. I'm an educate person, and do not need someone telling me what I can or can't do with my investments. I don't need to take a test.
I should be able to choose the public investments that are right for me.
I shouldn't have to go through any special process like taking a test before I can invest in public securities. I am capable of understanding my investments and their risks.
I oppose the restrictions. I have a right to invest in whatever fund available to public. I only invest less than 1% of my overall asset in the leveraged funds to enhance returns. I should not go through any process of test.
Thank you.
I disagree with this regulation by making a high net worth means test you are cutting off average investors like myself - a schoolteacher - from investing in a product that if your regulation goes through, will only be available for already wealthy investors.
You shouldn't have to go through any special process like passing a test before you can invest in public securities.
I am capable of understanding my investments and their risks. I do not need these measures imposed on me.
I strongly oppose my right to invest. I oppose having to pass a regulator-imposed test of your specialized investment knowledge. I oppose having to demonstrate a high net worth in order to invest. I oppose getting special approval from a broker.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the new SEC rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure that were adopted on July 26, 2023. The SEC adopted final rules requiring disclosure of material cybersecurity incidents on Form 8-K and periodic disclosure of a registrant’s cybersecurity risk management, strategy and governance in annual reports.
I want to retain my right to choose public investments without having to pass a test or other special process. I am capable of understanding leveraged and inverse funds and their risks.
Please do not restrict my right to invest in public investments.