H & L EQUITIES, LLC1175 PEACHTREE ST., NE, SUITE 2200, ATLANTA, GA 30361-6206H. C. DENISON CO.618 NORTH 7TH STREET, SHEBOYGAN, WI 53081Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028H.C.WAINWRIGHT & CO., LLC430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022HAITONG INTERNATIONAL SECURITIES (USA) INC.1460 BROADWAY, SUITE 11017, NEW YORK, NY 10036HALEY SECURITIES, INC.8712 WEST
I believe it's each investors responsibility to understand risk of their investment and each institution to provide investment vehicle. It's regulators' responsibility to ensure investment institutions to disclose risk information properly so that individual investors understand the risk they are take. But it's wrong for the government to put regulation in
Exchange Act Rule 15c3-5 (Market Access Rule) requires broker-dealers with market access or that provide market access to their customers to “appropriately control the risks associated with market access so as not to jeopardize their own financial condition, that of other market participants, the integrity of trading on the securities markets, and the stability of the financial system.”
Investors should be able to determine for themselves whether or not particular investments are appropriate for my or my family's investment goals. It suffices for investors to know that ANY security poses inherent risks, or more often, volatility.
The ability to invest freely is a necessary component of Americans' financial security: Social Security and pensions often are
The people have a right and the freedom to purchase whatever investments they wish to if they are sound and capable of doing so. FINRA's attempt to regulate the purchase and sale of cryptocurrency is a disgusting example of bureaucratic overreach designed to hold everyday investors back and consolidate control over a valuable asset which has helped financially transform the lives of many
Summary
FINRA has modified its Trade Reporting and Compliance Engine (TRACE) dissemination protocols applicable to agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions.1 The amendment will become effective on May 17, 2021.
Questions regarding this Notice should be directed to:
Alié Diagne,
(a) General
A member designated as a Restricted Firm shall be required, except as provided in paragraphs (e) and (f) of this Rule, to establish a Restricted Deposit Account and deposit in that account cash or qualified securities with an aggregate value that is not less than the member's Restricted Deposit Requirement, and shall be subject to such conditions or restrictions on the
The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
There are multiple risk parity strategies available that are of sound investment philosophy / theory. Restricting these isn't about protecting the retail investor. There are far riskier asset classes and financial products out there ie options, crypto, etc. [REDACTED] there is even legal gambling everywhere you look. Do the right thing - keep the market free. Allow leverage ETFs for retail
As a financial advisor, I oppose restrictions on the ability to grow and protect client assets.
Studies show that investors hate losing money three times more than they enjoy making it.
Taking away my ability to hedge client portfolios means my clients will suffer... and their suffering is leveraged 3x!
Please don't take away this important tool in our tool box.
