There absolutely no to suppress the freedoms of investment whether it for or against the market. If institutions are allowed to and not be held accountable for nearly breaking Americans back then it is only fair to bet against their actions.
As an individual investor and financial advisor who is competent in understanding the complexities of investing in leveraged funds but does not hold what would be considered a high net-worth, I appose this action.
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
i am a big fan of the investing tool TQQQ. The ETF is a valuable tool for my portfolio.
Agree this should only be used if thoroughly knowledgable of the strengths and weaknesses of its actions.
I'm very concerned about the actions of preparing this regulation that FINRA is trying to threat the freedom of investment. I highly want to keep my rights as an individual investor of leveraged etf.
I strongly disagree with the interference of my right to purchase the securities I deem necessary for myself and my family. FINRA has no legal right to regulate my actions as they relate to investments
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn April 13, 1989, significant amendments to Article III, Section 27 of the NASD Rules of Fair Practice will take effect. This notice sets forth, in question and answer format, certain guidelines for compliance with the
Executive Summary
The NASD announces revisions to the NASD Sanction Guidelines (Guidelines). The Guidelines were published for the first time in May 1993 so that members could become more familiar with the more typical securities industry violations that occur and the disciplinary sanctions that may result. The revisions to the Guidelines reflect recent developments in disciplinary sanctions
I approve of all of the requested actions. I hope this will be a step in the right direction to improving the current dysfunctional system that can currently be abused for profit.
We need transparency and fairness. Also we need swift action on the corruption taking place now and for the last three decades.
