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
Im a retail investor. About 10 years ago I bought an inverse ETF fund after hearing it recommended on a PBS stock market program. It never was in the black - it only lost value. Its now down more then 90%. I can understand how these investment vehicles can be effective for sophisticated investors and industry professionals but sales to the general public should be restricted. They are too
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2020.
I have a regular investment program that is long the market during part of every month and short during another part. It's been working fine for years. Being able to be in a short mutual fund or ETF does not "pick on" any particular stock. It just is a way to hedge other investments in case the market goes down. It is a more conservative way to invest that just
Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in
Get a grip -leave well enough alone.
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The U.S. Department of the Treasury recently adopted regulations under the South African Sanctions Act. The provisions of the Act were the subject of NASD Notice to Members 86-76.
This notice provides information relating to the new investment provisions of the Act which became effective on November 16, 1986.
The full text of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to September 1, 2021 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees
We need & deserve the right to invest & grow as well.
