I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the
SummaryAn efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the
Navigating your finances might seem impossible at first—maybe you’re facing student loan debt, low income, expensive housing costs or all of the above. But taking a few key steps, like setting financial goals, paying off debt and starting your retirement savings, can help you feel more in control.
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
Thank you FINRA for extending the period for commenting. Also, I thank you for attempting to make the U.S. Equities Market a fairer and safer place for retail investors to do business. This year is the first in which I became a direct participant in the U.S. Stock Market. Before this year I only passively participated though my retirement plan, but this year I proudly became a retail investor.
To Whom it May Concern:
Leveraged investments have been a critical PORTION of my overall portfolio and long term strategy for years. While not the smoothest of rides it is a leveraged investment strategy based on the SP500 and US Treasuries and moves correspondingly with market movements of what I think one would agree are very sound investments. To end this option by a well-intended, but mis-
I write to you in strong opposition to the proposed rule changes to which this public comment refers. I understand and applaud FINRA's desire to protect consumers - however I must insist you find a different way to do it. Simply restricting my access as an individual investor to a broad range of investments doesn't serve to protect me - it serves to drive my investing into
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
NASD Rule 2420 - Dealing with Non-Members
