Why should the government be my baby sitter and control my financial status in life. I take the chances financially but now they want money to qualify me if I dont give them money and spend more money to be qualified. See the logic in this. If I go broke its my money, see that logic. My money leave me alone
Your First Step to a Career in the Securities IndustryOn This PageOverviewEnrollment OptionsContent OutlineBenefitsAfter You Pass the SIESIE Reimbursement for Military VeteransOverviewThe Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry
This is an unconscionable intrusion into my financial life. How dare you assume I'm too stupid to understand or that I don't know how to manage my own money.
If there is something innately wrong with these financial instruments, then outlaw them for everyone. Otherwise, if they're legal instruments, it's my business and mine alone whether or not to invest in
Limiting access to complex financial instruments makes dangerous assumptions about the general intelligence of the American public. And unlike licensing and restrictions for automobiles or firearms, uneducated decisions regarding financial tools can only hurt the investor themselves. It is not the government's job to protect us from every bad decision we could theoretically make.
GUIDANCEContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementContinuing EducationFirm ElementExecutive SummaryThe Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing education Firm Element training plans.
I am a suburban daughter who watched and felt helpless in stopping siblings from financially exploiting my parents. I had POA and was their health care agent. I warned their out of state financial advisor that my parents were targets of financial exploitation. Less than three months later, the advisor facilitated over 300K being diverted from my mother as an inherited IRA due to my fathers
Individual investors deserve the ability to manage their own risk and make their own investment decisions. It is preposterous to suggest that there are any real systemic threats to the financial system arising from these funds. If institutions can regularly take on risks that actually affect the broader financial system then individuals should be able to take risks that largely only impact
More regulation only produces an even great gap between those who are privileged enough to have financial advisors (and therefore access to sophisticated investments), and those who are not. Requiring a certain level of net worth is also a way to silo regular folks from taking advantage of the market. This is not right. People should be trusted to make their own financial decisions.
Hello, My name is Brandon and I am a series 7 licensed financial advisor. I believe that the current proposal 22-08 is unfair to investors, underwriters, and businesses, limiting access to investment resources for investors and financing for businesses. For businesses. The people do not need you to dictate what they can invest in. This is only going to hurt the market overall, while limiting the
Talking about money issues can be stressful. Talking about them while a service member is deployed to a remote location can be more so.
