Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
In light of the recent boom in private and boutique investments, I completely understand the benevolent spirit with which FINRA is attempting to protect small investors from themselves. Leveraged and inverse funds pose a risk hardly understood by everyone with a Robinhood or a TD account. However, those of us laypeople who receive investment advising and learn from friends, family, and literature
I am a private investor with over 30 years of investing experience. My portfolio consists of individual companies, ETFs of various sorts and mutual funds providing a comfortable level diversity. I understand the need for investors with limited experience not to have access to leveraged funds as well as option training without some level of training so they understand the associated risks. I would
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
I wish to tell you in the strongest possible way that I am absolutely apposed to the government telling me or my family how to invest my hard earned money in public investments, especially inverse public securities. I have used inverse funds for years to protect my portfolio against major downturns like we are experiencing right now in the market. They are an important hedge against irrational
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
I am opposed to Rule #22-08. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I should not have to demonstrate an net worth arbitrarily set nor be required to obtain broker permission to invest. I should not have to take a test to invest in public securities
December 2009 Supplement to the Options Disclosure Document
INFORMATIONAL
Membership And Registration Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
Financial and Operations Limited