Stop the regulatory overreach! This proposal will prevent private investors from making informed decisions about how they want to spend their own money. Your ludicrous, vague and just plain stupid proposal will hurt me from selling investments I have already made! Just STOP IT.
Stop trying to regulate retail investors. Information regarding these securities and other more complex investments is readily available. Nobody forces me to buy leveraged funds and the risks are well documented. You need to worry more about the investment whales that constantly manipulate the daily charts!!
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
Comments: A custodian of private individual accounts should provide a disclaimer when L&I funds are purchased. It should detail the risks and advise that it is not a long-term holding. No one should be restricted from purchasing these products. An informed individual should scale his or her risk tolerance before purchase.
I use my leveraged funds to hedge various positions. they are useful for reducing the amount of funds necessary for taking a position.
I feel your rules may limit my access to these useful tools.
My brokerage houses provide extensive information and they outline the risks and of these products.
Robert Pallaron
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT
TO: All NASD Members and Other Interested Persons
In Notice to Members 84-69, dated December 18, 1984, the NASD apprised the membership that the Comptroller of the Currency had issued notices concerning certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses
Comments:Please allow an individual to make his or her own choices. The risk I take are mine, and mine alone. I rely on the SEC to keep thing honest, and to make sure people are informed. I have gained a great deal by employing higher risk index funds, and wish to continue. Thanks
I oppose restrictions to my right to invest. We are capable of making our own investment decisions and have plenty of information to do so. If I chose to use leverage or inverse funds then I am better off for having access to these types of investments. Do not take this right away. Thank you.
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Executive Summary
On August 9, 1995, the Securities and Exchange Commission (SEC) approved a new Interpretation to Article III, Section 1 of the Rules of Fair Practice that prohibits a member firm from purposefully adjusting an inventory position in a particular security in anticipation of
Neutral Corner - October 2007
