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
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
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 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.
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
The Trusted Contact Persons section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
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.
Hi, This makes no sense! High risk assets also have high reward potential! They have a place in the portfolio regardless of net worth! Don’t skew the field against the poor in disguise of protecting the dumb! If you want to screen dumb then have a financial savviness test !
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, July 15, 1996. The information relating to matters contained in this section is current as of July 5, 1996. Information received subsequent to July 5, 1996, is not reflected in this section.
Firms Fined, Individuals Sanctioned
George E. Dullnig and Co. (San Antonio, Texas) and George R. Dullnig (
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council’s (NAC) review of its Sanction Guidelines has resulted in a number of significant revisions. In particular, the NAC is amending the overarching principles that apply to sanctions determinations and is revising the Sanction Guidelines to call for tougher sanctions against those
