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SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
This is unnecessary change that affect and reduces access to investors from products.
I do not understand why a regulator should be telling me as an individual and raising the bar to what kind of ETFs I can invest in.
Requiring a test is the opposite of an equalizer and prevents marginalize groups access to this type of investment.
I should be free to invest where I see fit. I know the potential risks - and rewards - of leveraged and inverse funds and incorporate them into my portfolio to hedge against losses and seek better returns. Imposing restrictions, like testing, restricts the ability to invest in such funds to the privileged and well-connected.
Public investments should be a choice of the individual and not regulated by government.
Individual decisions on ability to invest should not be incumbered by a government test or requirements instituted by government.
Leveraged and inverse funds are important to my investment strategies.
Government over-reach needs to stop now! Preserve American freedom
Requiring potential investors to 'pass a test' sounds exactly like the methods used by white supremacist Dixie Democrats to prevent Black people from voting. Investing as we please may not be specifically stated in the Bill of Rights, but it is as much a right as free speech or firearm ownership.
Please do not Pass a regulator-imposed test of your specialized investment knowledge
Demonstrate a high net worth
Get special approval from your broker
Attest to reading certain materials
Go through cooling off periods during which you cant invest
I should be able to choose the public investments that are right for me and my investment goals. I think it is appropriate to have to read some basic warnings about the dangers of such investments such as leveraged or inverse funds but I should not have to take special tests before I am allowed to invest in such instruments
I opposed to restrictions to my right to invest. I should be able to choose the public investment that I see fit, Not public regulators! I shouldnt have to pass a test to invest in public securities! I should have freedom to invest in cryptocurrency funds like BITO if I chose to diversify my investments.
Public investments should be available to all of the public not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities. Everyone knows there is a risk with investments. We don't need these measures imposed on us. Please realize people need to do what is best for them without laws imposing upon our rights.
(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