Please go ahead and execute ASAP....you have the power to help stop this manipulation! There seem to be many rules proposed and no observable action
The right to have any action taken pursuant to this Rule Series reviewed by the SEC is governed by Section 19 of the Exchange Act. The filing of an application for review shall not stay the effectiveness of final action by FINRA, unless the SEC otherwise orders.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-99-76 eff. Sept. 11, 2000.
Amended by SR-
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
I support the regulation. It is our civic responsibility to deter suicidal actions and for many self deemed investors this is exactly what these financial instruments afford. FINRA has been, and is doing, the right thing.
Your proposed new regulations are totally unnecessary and only puts a burden on both investors and investment services. Notice of the risks are amply provided at this time and further action is useless and a waste of time.
I oppose any and all actions that would restrict the ability of any individual to invest their own property how they see fit, especially rules that intentionally exclude persons based on wealth or income.
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 am fully aware of the risks of these investments. I should be able to decide how I invest my money, not you. You are attempting to infringe upon the rights of citizens by your proposed actions. Stop!
Comments: As part of a long-term, diversified portfolio, a minor portion of my holdings lie in leveraged ETFs. The largest risk associated with these leveraged funds equates to nothing more than simple mathematics. An additional risk, which has already proven true in the past for other financial tools, is the prohibition of the common investor and trader from the use of these instruments.
I am
Request more transparency. Retail investors should have visibility on all exchanges and they should be immediate. Current technology makes this possible. T+2 system is a relic of an antiquated system. The current system architecture puts all the advantage to large firms that have access to information that is either restricted or delayed to the retail investor. This obviously creates an un-level
