You not regulators 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. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
With the technology today and the money that's being made in the markets by all parties, except for retail traders who get the shaft when it comes to getting "free" trades. Even by the sanctioning bodies that are supposed to over watch all of it's "members" and the standards upon which they are held, are not doing their jobs. Not REQUIRING that all members to report
The US stock market is one of the most corrupt organizations in the world. The SEC only protects Wall Street at the expense of the public. Laws that were created in 2008 are blatantly broken every day. Felonies are committed against retail investors and no regulatory institutions do anything about it. Why make more laws? Why pretend FINRA or any other agency protects the best interest of the
I have been investing in leveraged index funds and mutual funds such as TQQQ (Nasdaq 100 index 3X bull), TECL (S&P 500 tech index 3X bull), and RMQHX (Nasdaq 100 index 2X bull). It is important for more risk-tolerant retail investors to be able to increase their returns without losing diversity in stocks. With the assumption that markets go up in the long run, these leveraged funds allow
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31
Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining
Key Topic(s)Exercise LimitsOptionsPosition Limits
Options Position and Exercise Limits
Executive Summary
SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
I believe investors should be able to make their own decisions based on the opportunity to invest in innovative technology. Many investors dont have the millions or billions of dollars to invest in start ups or big private equity deals like all the multi billionaires, VCs andPE firms do and by limiting the average retail investor to only buy proven mutual funds that are a basket of stocks you
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in
The current price manipulation with AMC/GME et al has exposed the stock market corruption. All reporting agencies and SEC rules don’t make a difference in protecting the big money from the everyday average trader. It seems to me that the rules only apply to the small investor and protect big money instead. It’s all an incestuous relationship between the SEC, FINRA, DTCC and the like and the big
I believe more transparency is needed any the dark pools need to be more transparent as well. The fines and penalties need to be increased so that the crime wouldn't be worth the cost of the crime. You have people taking interest in the stock market just to get robbed due to manipulation and synthetic shares. You will find that more people can be made to use the market fairly and people
INFORMATIONAL
Regulatory Fees
Implementation Date: October 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Senior Management
NASD By-Laws
Regulatory Fee
Executive Summary
As announced in Notice to Members 02-41, NASD has amended Section 8 of Schedule A to the NASD By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee
