The following links should be helpful when filing online for your firm and associated individuals:CRD System and Related LinksElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)Filing Guidance Related to Registration FormsCurrent Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)Investment Adviser Representative (RA) Form Filing
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
Inverse funds are part of an important strategy for ordinary people to hedge against bear market conditions, an environment where ordinary people have very little option for protection. Do not take this option away from well educated and well informed investors.
Please do not limit or restrict my rights to invest in public securities. Such investments should be available to all and not limited to those privileged by regulation. All investments have risk and transparency, information and education are preferred over regulations restricting or eliminating individual rights.
Of course it is important that investor have access to all the information and risks associated to an investment and the marketing of Investment vehicles must be strictly regulated to ensure that people are not incorrectly enticed into inappropriate investments. But the right to chose what investments are right for oneself is critical and must be protected.
Please do not limit access. There is already significant extra information provided before being able to invest, and these funds provide easy access to a more efficient use of capital for younger investors, providing a larger set of assets on which I will pay taxes in the future.
I approve of these actions. Especially, naked call selling with high amounts of volume. This practice is know as synthetic shorting. Its used by funds to drive down price on higher speculative stocks. All information on this info should be accessible to all.
More information is what we need to achieve the correct price signals for the market. As a small retail investor, the proposed rules would help me to have better, more up to date info on the companies that I am taking ownership in.
Hello, I'd like to have a faster access to the Short Interest reporting, receiving the information after more than 2 weeks it was released it leaves the retail investor in disadvantage compared with big entities like MarketMakers, HedgeFunds and investment funds,
There should be no provision that attempts to limit my right to invest in leveraged or inverse funds, that is my choice and no one else. What should ONLY be the focus is transparency as to the risks and accurate information provided through disclosures and financial reporting and that is where the regulatory emphasis should be.
