I am writing in strong opposition to this proposed rule. I and my advisors should be the ones to determine if investments are right for me, NOT the government regulators. I also should not have to pass a test before investing in public securities. I understand full well the risks and rewards of leveraged and inverse funds, and it is not up to the government to suggest or tell me otherwise. The
I have invested for many years in inverse and leveraged funds for my investment portfolio. I use them to hedge positions as well as enhancing returns. I should be able to invest at my own risk without permission from regulators. As a college graduate in math, I am able to understand this product! I should not have to go through a test to be able to invest In securities that are public. For my
I understand the risks associated with these products which ALREADY are more than well documented in disclosures by both the Broker and the Funds that that issue them. Because I am borderline High Net Worth individual, shouldn't mean I, nor any of the general public should not have access to these inverse and leveraged tools to properly hedge risks in our portfolios. Using these tools can be
Raising the difficulty of market manipulation via naked shorting and rapid trading has become a national mandate since the Robin Hood event. Market transparency is essential to free markets and the moves of institutional investors are bellwethers to retail investors who are harmed by market downturns without equal access to information on market moves. A balance must be struck between the need to
Retail is the backbone of the economy. We're always given the worst odds and being beaten down. With that they're beating down the US and world economy. It is the responsibility of those in power to make a change to level the playing field. If you raise up retail, we'll raise up the economy. Short sellers are killing jobs, robbing peoples futures and killing the economy so they can
2025 Program Dates: November 16 – 21This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 15, 1989, the Securities and Exchange Commission issued Release No. 34-27249 containing proposed
Hi I grew up in the late 70s 80s and 90s. Graduated college in 2001 after a 2 year break between high school and college. I got a degree in Environmental Science. Its worthless. How are those California wildfires going, oh and more like Hoover Dayum. Am I right? Who needs water in a desert.. seriously. We went to war with 2 of the wrong countries and the economy tanked more than once. Great
Ms. Marcia E. Asquith, Executive Vice President Financial Industry Regulatory Authority, Inc. 1735 K Street, NW Washington, DC 20006-1500 Re: FINRA Regulatory Notice 22-08 (the “Notice”) Dear Ms. Asquith: Defiance ETFS, LLC (“Defiance”), appreciates the opportunity to comment on the Notice. We commend the Financial Industry Regulatory Authority (“FINRA”) for reminding members of their current
The 1 minute rule proposed would be very difficult for small broker dealers to keep, and would represent a major hurdle to our fixed income business. Most small broker dealers as is our case do not have a dedicate trading desk to handle this proposed new 1 minute rule, nor do they have the state of the art software that big firms may have access to. While compliance may be possible, this would
