TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 4, 1987.
EXECUTIVE SUMMARY
The NASD is publishing for comment a revision to its proposed amendment to the Interpretation of the Board of Governors on Free-Riding and Withholding that would provide members with an alternative means of complying with the Interpretation for sales of new issues to investment
The Reg BI and Form CRS topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
This is written to voice opposition to the proposed FINRA Notice. As an individual investor, there is no need for such heavy-handed regulation by a government agency.
We investors have the right to decide which equities, funds, bonds, etc we want to buy and sell -- this should not change. Yes, clear information needs to be provided to us by brokers, funds, cryptocurrencies, etc.
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Executive Summary
A revised edition of
More regulations are NOT necessary. Retail investors should be able to freely choose what to invest in. Demanding us to pass tests or going through other special processes is annoying. Restrictions on retail customer access to complex products are even worse - they are unreasonable and unfair. As a leveraged fund investor, I always read through the information and assess risks before making an
Being that corporate America has a grasp on the stock market and can manipulate it and you as a politician can get insiders information as to what laws are passing and what PACs entice you where to vote by way of tempting gifts. Crypto is the way I can increase my financial future. I serious hope you consider how you vote as this is what many individual investors who found the benefit of
Im a normal citizen with a professional job and consider myself an average but informed investor. My investment plan is focused on long term gains and uses leveraged funds to do that. I follow a systematic investment program that uses safety switches and signals to reduce exposure to leveraged funds while also maximizing the benefit leveraged funds provide in the long term.
Im more than
Please do not limit my ability to choose leveraged and inverse funds. Without Wall St. experience or a high net worth, I feel confident I can employ these investment vehicles to meet my investment strategies. In today's world, there is a ton of information at our fingertips. These types of investments are useful as a hedge and also can help boost returns without having to buy an
I oppose any burdensome regulation on leveraged funds. I have no objection if you want to require potential investors to read information about a fund's risk and pass a test based on that reading before allowing the investor to invest in a high-risk fund. But I have invested in a leveraged fund where I can lose all my investment, and I accept that risk based on market factors. However,
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons" and about other OFAC regulations. On December 9, 1997, OFAC amended its regulations to require
