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Public securities and public investments should remain open to the public and not restricted or regulated. Regulation makes them private, not public.
Here in USA we believe in freedom, and that it bears responsibility for your choices, including the potential loss of invested principal. While i'm not really concerned about a knowledge test (which i find tho useless, easy to cheat on and just another taxpayer and investor added cost), brokerage approval or certifying reading the materials, as we do believe education is important before
RE: S7-24-15 There is no need for FINRA to be involved in private investment matters. Do not make things more complicated and inefficient.
Private short positions should not be allowed. All short positions should be disclosed to the public
FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. On this episode, leaders from FINRA's Exam program join us for a deep dive into how the program works and what firms can expect during routine firm exams.
Chairman Sarbanes, Senator Gramm, Members of the Committee, thank you for this opportunity to testify on the vital, troubling and timely issues of investor protection and accounting regulation revealed by the collapse of Enron.
Summary
FINRA is adding two new Rule 4530 Problem Codes related to SEC Regulation Best Interest (Reg BI) and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Starting on July 18, 2020, firms can use new Problem Code 16–Reg BI and new Problem Code 17–Form CRS, when applicable, to report customer complaint information and required documents
Ive already accepted the risk if using leveraged ETFs, please dont take away these options for how I invest my private money
Private investors should be able to choose the public investments that are right for them, and public investments should be available to all of the public, not just the privileged.
This idea of regulating trades is an overreach against private investors. Where does such power end?
I ask that you abandon this bad idea...thank you