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I think a free market economy should not need censure of normal accepted commerce activity. Voted against. Here is why:
I think that regulatory overreach ought not occur. It's a free market economy we all participate in, not a private club for special interest groups with an agenda. Anyone with money should be able to transact funds in exchange for securities the market has demonstrated
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
The use of related performance information in institutional communications, subject to specific conditions, is consistent with the applicable standards of FINRA Rule 2210.
NASD Rule 3070
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NASD Rule 3070
NASD Rule 2110
Executive Summary
NASD has undertaken two initiatives to improve the quality and flow of information to it about allegations of broker misconduct. First, on August 14, 2002, NASD filed with the Securities and Exchange Commission (SEC) a rule proposal to
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Executive Summary
In accordance with National
Dear Madam, Sir:
I am writing concerning possible restrictions that may be applied to certain securities like leveraged or inverse funds.
I am a private, non-professional investor, but do my homework on stocks. Especially in the last few years, leveraged and inverse ETFs have been an important part of my investment strategy. While they represent a lower percentage of my investment funds, they
I'm contacting you to oppose the potential additional regulation applied to certain "complex" investments.
First, what I choose to invest in, public or private securities or other instruments, is my sovereign choice. I educated myself on e.g. leveraged and inverse funds, and have an understanding in how they work and their risk/benefit equation as it applies to me.
It is me as a US Citizen and individual investor - not regulators who should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
We investors shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and
In regards to your proposed legislation to apply special criteria to investors who wish to trade in some leveraged or inverse funds. At the best, the proposed legislation is an additional burden to investors. At the worst is that it is discriminatory that shuts out small investors in favor of wealthy investors an private wealth or hedge funds. I currently have held one of these funds for over 11
Dear FINRA, I oppose this legislation because you are instituting more constraints on my freedom to manage my investments as I see fit. We already must review and sign documents from our broker informing us of the risks and potential losses on all leveraged investments before we can purchase those investments. In fact, I had to state my investment objectives were "most aggressive" to