I should have the right to and freedom to invest in any funds. I'm an adult that can choose my own risks and rewards and shouldn't be limited to such. I find this proposed rule a corrupt fraudulent act.
Rule #22-08 is a violation and restriction to OUR FREEDOM! No special tests are required! We are free adults, and must be treated as such! And WHY are "Unelected Bureaucrats" writing and passing laws limiting our RIGHTS?
INFORMATIONAL
Online Suitability
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Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
The Neutral Corner—Volume 3, 2021
Mission Statement
Avoiding Confusion and Delays When Resolving Motions to Dismiss (by Matthew Kipnis, FINRA Extern)
Bits, Bytes and E-Discovery Fights (Part III) (by Lisa Miller, FINRA Arbitrator)
Using Arbitration Hearing Scripts (by Narielle Robinson, Senior Case Administrator, FINRA Mediation)
FINRA Dispute Resolution Services and FINRA News
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide members with additional time to comply with the amendments adopted by SR-FINRA-2019-014 related to transactions in U.S. Treasury Securities executed to hedge certain primary market transactions
FINRA Rule 4554 states that if for any reason an ATS uses a NBBO source other than the one that was reported on its ATS OATS data submission, the ATS must notify FINRA via e-mail that an alternative source was used to obtain the NBBO
Regulatory Obligations
Exchange Act Rule 15c3-1 (Net Capital Rule) requires firms to maintain net capital at specific levels to protect customers and creditors from monetary losses that can occur when firms fail.
Noteworthy Examination Findings
FINRA has continued to identify some of the same concerns noted in the Net Capital and Credit Risk Assessments section of the 2017 Report and Accuracy
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
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Please do not impose Rule #22-08 on the investment community. As with any investment, users of leveraged ETFs should understand the risks associated with ownership.The committee could write a pamphlet that would accompany the prospectus.
