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To Whom It May Concern:
I am opposed to any limits on what I, or other American citizens, can invest in. While I appreciate the need for education and careful analysis, it is up to me to do my due diligence and make the final decision.
Certain types of investments should not be reserved only for people with high net worth or specific financial experience.
Instead of limiting my ability to invest
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTraining
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EXECUTIVE SUMMARY
The SEC has approved amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules") to require NASD members to make reasonable efforts to obtain additional information pertaining to
FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today announced the launch of its first, broad-based advertising campaign aimed directly at baby boomers, a demographic that its research shows lacks confidence in their investing knowledge and is eager to better understand their investment options.With 10,000 baby boomers retiring every day over the next quarter century, FINRA
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud. In addition to new scams focusing on COVID-19, previous scams may also find new life as fraudsters adapt to and exploit recent events and related vulnerabilities, especially those related to the remote working environment.
I oppose having these types of funds being removed/further regulated. Each investor should be able to make their own informed decisions.
Regulators should limit their activities to preventing fraud and informing the public. Otherwise let people take responsibility for their own decision-making.
Limit insider trader of the members of the US CONGRESS,
So they are not competing against my trade without any insider information.
(a) A member may hold mail for a customer who will not be receiving mail at his or her usual address, provided that:
(1) the member receives written instructions from the customer that include the time period during which the member is requested to hold the customer's mail. If the requested time period included in the instructions is longer than three consecutive months (including any
As a retail investor I believe the public has the right to make informed choices to invest in leveraged funds and not to have this ability restricted.