Displaying 601 - 610 of 1654 Results
As a private investor, who invests to provide an income and retirement savings for my family the FINRA should not limit my access to public investments.
- You should not restrict access to public investments to those that can pass a test that limits access to public investments.
- You should not set income or net-worth limits on access to public investments.
- You should not provide provide
To whom it may Concern,
I am strongly opposed to restricting which public investments I am allowed to invest in. Being able to invest in inverse funds allows me to hedge against a decreasing market. My 401k platforms do not offer inverse investing opportunities nor do the representatives/specialists want to take or move investments when the market is moving negatively. They say don't
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. I, not regulators, should get to choose the public investments that are right for my investment strategies. Public investments should be available to all, not the select privileged. I oppose requirements of regulator-imposed tests, sharing private financial information, obtaining special permission, and any and all other restrictions on leveraged/
HI, I have been a private investor for over 30 years starting when I was in the 6th grade. I am a huge proponent of freedom and self-education. I believe that the general public should have a right to invest in the same funds as the privileged without having any required tests or special processes which only serve as roadblocks to wealth creation. I am capable of making my own decisions when it
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. I, not regulators, should get to choose the public investments that are right for my investment strategies. Public investments should be available to all, not the select privileged. I oppose requirements of regulator-imposed tests, sharing private financial information, obtaining special permission, and any and all other restrictions on leveraged/
The multi-week period following the end of each quarter when most public companies release their earnings reports is known as earnings season. Wall Street analysts, financial media and investors often eagerly anticipate reports from many major firms during earnings season and monitor how they might impact individual stocks and economy-wide narratives.
/**/
3100. SUPERVISORY RESPONSIBILITIES
3110. Supervision
3120. Supervisory Control System
3130. Annual Certification of Compliance and Supervisory Processes
3150. Holding of Customer Mail
3160. Networking Arrangements Between Members and Financial Institutions
3170. Tape Recording of Registered Persons by Certain Firms
3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
3210.
Investment funds pool the money of many investors and invest according to a specific strategy. Funds come in various types, each with differing features. Generally, publicly offered funds — such as mutual funds, exchange-traded funds, closed-end funds and unit investment trusts — must be registered with the Securities and Exchange Commission (SEC) as investment companies.
The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service.
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as