SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD® is publishing the results of a recent study of underwriting compensation received in the distribution of public corporate equity offerings. The NASD analyzed the amount of actual
Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
I should be able to choose any public investment, without regulators controlling my ability to invest! Restricting investment opportunities, for only the privileged and already high net worth individuals is entirely unfair and does not bode well for our free market.
If an investor is capable of understanding leveraged and inverse funds they should be allowed to invest as they wish and take on
I am strongly opposed to proposed regulations that would restrict my ability to utilize Leveraged and Inverse Funds/ETFs. These are an important part of my investment strategy and are used for both investment in up trending markets as well as hedging purposes in downtrending markets. I am quite capable of understanding the function and risks of these vehicles, and do not feel the government
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
Dear Sirs: I understand you are considering regulations to restrict the vast majority of investors from investing in leveraged and inverse funds. Quite simply, stop this effort right now. I don't need someone in Washington to "protect" me from these types of Investments. I research all my investments and I'm well aware of the risks entailed in these types of
I understand the Federal Government Regulatory bodies have the best interests in mind for this country's citizens as well as those investors beyond our borders as various regulations are imposed. However, in a free society it seems to me that we have the right to choose those public investments that we feel are right for ourselves as well as our families. It is frightening to
SUGGESTED ROUTING*
Legal & Compliance
Mutual Fund
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article 111, Section 35 of the NASD Rules of Fair Practice. The amendment
Dear FINRA,
I understand all investment vehicles have risk and one can lose your principal. Making it harder for ever day Americans to be able to invest in leveraged and inverse funds only empowers the rich and well connected. I should have the right to be able to invest in public products. I am a sophisticated investor that understands risks and should not have to go through special processes
I've been using leveraged ETFs as well as ETNs for years. Why should I suddenly be subject to restrictions on products that I understand the risks for. Investing in these products isn't actually inherently riskier than simply investing in an individual stock, even a popular and widely-owned one (and indeed often is LESS risky, depending on the specifics of the stock).
Should
