I have never had much money but if it weren't for my ability to invest in the stock market I would have done without many things. Adults have the right to invest their money any way they want. They are the only ones that suffer if they make a bad investment. Please do not take away my rights.
No need for a trader to understand the complex product all the broker warns about leveraged product. A trader sees an opportunity to entre and exit. Also with more regulation and restrictions the stock market and the economy will go down, with the diversified market and ease of regulation the market will call for more investors, and it’s what we need.
Transparency is key. It's a free market, but not a fair one. The odds are purposely hidden, stacked against the retail traders and then manipulated. It's time for change. It's also time for margin calls, though in the case of stocks like AMC and GME, this is about more than just money.
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
Investments are risky business, so the investors must face it or they should leave this field. In this regard, investors should know best how to take care of themselves. In the proposal, the complex products and options are defined more riskier, no matter what which I can’t agree for two reasons.
The first, when talking investment risk, we need to have a benchmark. In equity market which is the
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsOptionsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments creating a separate section in the NASD's Rules of Fair Practice relating to options communications with the public. The
I am currently holding a position in an inverse leveraged stock. Personally, knowing how it works and understanding the risks. I do not believe I should lose my investment opportunities based on my privilege within the market, and financially. My overall opportunities as an investor and financially will become limited which I find unfair to myself as an investor.
I have been investing in inverse leveraged funds for over 10 years. I understand them and I watch their movements on a daily basis. One of the primary purposes of investing them is to protect my stock investments. I would not like to see my investing in these funds to be limited by additional regulations. Please do not impose additional restrictions.
This is a ridiculous policy that only benefits high net worth individuals and institutions while trapping everyone else in conventional investments. People should have the FREEDOM to invest how they choose. There are so many ways for people to lose money in the stock market it seems like a very focused solution to an extremely broad issue.
