I have a private individual broker for my investments because I wanted control over what my money is invested in, stop regulating and controlling free Americans. I think most people are likely to understand risk that are intelligent enough to have an ID that is required to open an account.
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than establishing a new
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
Just who the heck appointed you to decide what risks I take with my money and my investments? Stand down and let people be free to decide for themselves all things in their private lives and go be a Karen to your neighbors or something. Nuff said, you get the point!
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is highlighting a statement released today by President Biden regarding possible threats to our nation’s cyber security, urging private sector companies to remain vigilant and harden their cyber defenses "immediately" based on "evolving intelligence that the Russian
I am a responsible investor who wishes to have control over my own money to make investments of my choosing. Investment risks should be each individual's private choice, so the government should not limit access to these types of leveraged and inverse investments that are critical to my investment strategy.
The rights of the people stem from the right to private property. The right to invest must not be infringed upon.
Furthermore, I understand the risk that comes with the use of leveraged funds and see this as highly paternalistic and unfair. The market should be blind to the personal status of the investor just as it is blind to the personal status of buyers of goods.
I oppose the proposed restrictions on leveraged and inverse funds. I am already an accredited investor and my use of leveraged funds make up only a tiny portion of my net worth. I understand the risks and see no reason to restrict access to these and other products. They are already inherently less risky than other readily available products like options, crypto, certain poorly run private
FINRA has no business or right to regulate or limit the products in which private investors place funds. I understand and accept the risks of my investments in all types of funds. They are my funds to invest, not yours. An investment prospectus is sufficient to inform investors of the objectives and risks of any investment. Attempting to regulate who can and cannot invest in any fund, based on an