Comments: All investing involves risk. Stocks, Bonds, Mutual Funds, ETFs, Commodities, Currencies. Imposing sanctions, regulations on a specific sector or industry that market "complex products" is arbitrary, biased and prejudiced when not imposing the same sanctions, regulations on other risk assets as Stocks, Bonds, Mutual Funds, ETFs, commodities, etc. Those who market these "
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm
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I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds. I use these funds as a hedge to help diversify and protect my other investments. Im concerned that government intervention in these financial instruments will destroy their ability to provide safety and protection to my investment portfolio.
Investing can be very dangerous. Investing
Executive Summary
On May 18, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Interpretive Material 2110-1 (IM-2110-1) and Rule 2720, revising certain provisions of the Free-Riding and Withholding Interpretation (Interpretation). These amendments address direct and indirect owners of broker/dealers, investment
What makes are American economy and stock market great is the ability to choose how we invest our time, talent, and of course money. For many the idea of growing assets through investments is a beautiful mechanism and the reason we wake up ready for work every morning. I love the financial industry and have worked in it for many years. When working with clients, I always try to follow the rules
Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
I strongly oppose SEC proposed rule #S7-24-15. My wife and I both have most of our life savings invested in IRAs, both traditional and Roth, with Fidelity Investments. A small but significant portion of our portfolio is currently in the ETF BITO. We were forced to use that ETF because we are not permitted by government regulations to directly own Bitcoin or any other cryptocurrency in our IRAs, a
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
The Books and Records topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Why are we being treated like children and we are limited to only big companies or wall street firms? I can read and like a big person. my mother doesn't need to cut my meat (and I manager her money as a matter of fact) . So since I am a grown person I don't need the govt treat me like a child and limit what I can invest in or not. It always seems if the market crashes you limit
