Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
Its so clear that if anyone expects a market downfall he must be able to protect his assets by buying inverted ETFs like fund managers with options and futures. Its a right retailer investor must have. Otherwise its a discrimination against them!
It is vital that I have access to inverse funds (not leveraged inverse funds) to manage my personal asset allocation. I managed money professionally for 25 years and am well aware of the attendant risks. Please do not restrict my ability to use these investment vehicles! Thanks....
Dear Sir/Madam, I oppose any restrictions to my right to invest in cryptocurrency funds or other popular investments deemed to be complex. As an investor, one should understand the risk with any form of investments but have the rights to select all available assets to invest in. Thank you.
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 2, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,766. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I have been utilizing the leveraged ETFs in my familys portfolios since 2008. I have had great long term performance and value these ETFs as a critical part of my asset allocation strategies. Please do not make it difficult for me to utilize these investment vehicles.
The regulations being considered are discriminatory. As Capitalist it is essential to have the freedom to purchase the specific assets or investment vehicles on the open market that work best for yourself or family. As Sophisticated investors this is not robinhood or gambling. WE UNDERSTAND THE RISKS and have years of experience trading in the markets. [REDACTED]
Dear Sir or Madam, I do believe that double or triple leveraged ETFs are a good alternative to more sophisticated equity option spreads or futures Products. I know and numerous amateur investors utilizing these class of assets with great success. I would hope that they remain accessible to such investors.
Summary
FINRA has amended its Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule.1 The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The
