I shouldn't have to go through any special process like passing a test before I* can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need the proposed measures imposed on me.
I have been trading leveraged ETF's for years as part of my investment strategy in my savings and retirement accounts. I don't think we should have to pass a test ton continue to do this or any government agency should limit our right to do this.
Pamela Davis , I should be able to purchase as well to whatever stocks I deem to acquire. I should not have to be tested per se or read certain materials to purchase. This is controlling and manipulative ways to not allow person who are not stock regulators to purchase stock. This is a travesty to say the least.
I disagree with proposed rule. Leverage is a good thing. The issue is with over leverage. Everyone with proper literature and clear english text should be allowed to buy and sell security of their choice. Define which educated or a person who has passed a test shown skills in trading.
Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
Good Evening, I support these changes. I’ve have experienced the consequences of not having these rules in place and had lost a lot of confidence in investing in the financial system. Not having these changes in place also make me worry about a complete collapse of the financial system. These proposed changes have restored a lot of my confidence. Please implement these changes as soon as possible
I oppose the proposed Rule#S7-24-15 for the following reasons: 1. You have no right to decide for the public into what vehicle the public can invest their own funds. 2. You have no right to decide which individuals are allowed the right to invest. 3. You are creating a discriminatory system for investors decided by agencies on what is available. You are basically creating a secret system
The Liquidity Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has been reviewing member firm compliance with the Securities and Exchange Commission (SEC) Order Handling Rules and with Nasdaq® trading rules. We are taking this opportunity to reemphasize the application
