I strongly oppose the proposed rule changes that would restrict or even block access of certain investments including leveraged and inversed funds.
The decision of choosing investment vehicles can only be made by individual investors, not a small group of regulators. To protect the interest of individual investors, the regulatory should work toward ensuring fairness by enabling equal access to
Dear regulators,
I believe, the US is a free country and it should be my choice of what I want to invest into and what not, not you. I originally came from a communist country where the government and regulators controlled and regulated every citizens' life. You are starting to remind me of those days.
Why are you going to punish responsible investors like me for a few irresponsible and
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 24, 1986
BACKGROUND
In Notice to Members 85-58, dated August 30, 1985, the NASD solicited comments from members and other interested persons on a proposed new rule (new paragraph (m) Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
Hi there, I oppose the proposed regulatory enhancements. I especially disagree with tying the ability to trade or invest in leveraged ETFs (or other "complex funds") to net worth. Nothing about having a high net worth guarantees a better understanding of complex funds. Someone with a small portfolio is capable of doing their due diligence before investing in or trading complex funds. I
GUIDANCE
Issues Relating to the SEC's Adoption
of Regulation SHO
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1988-89 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and
Indexed annuities have surged in popularity because of the way they incorporate features beyond those found in conventional fixed annuities. Similar to conventional fixed annuities, the taxes on gains in indexed annuities are deferred until you begin receiving distributions.
In the Showtime television series “Billions,” the ambitious U.S. attorney Chuck Rhoades, played by Paul Giamatti, is certain that a fictional hedge fund manager Bobby Axelrod, played by actor Damien Lewis, is guilty of insider trading.
“What have I done wrong? Really? Except make money. Succeed,” Axelrod says in his defense in an episode.
There isn’t a clear hero and villain in the television
