(a) Upon motion of a party, the panel may order the following without the use of subpoenas:
(1) The appearance of any employee or associated person of a member of FINRA; or
(2) The production of any documents in the possession or control of such persons or members.
(b) The motion must include a draft order and must be filed with the Director. The requesting party must serve the motion and
Please note that investors should have the right to choose investments that are right for us...there shouldn't be a special test, how unamerican. Inverse funds are critical to me hedging my risk, PLEASE DO NOT RESTRICT MY RIGHT TO INVEST
Inverse funds have proven to be very a beneficial hedge to many portfolio strategies. More than ever, right now, they are doing just what they were designed for. I don't need a test to understand how they work. Thank you.
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.
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
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 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.
