SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules") to require NASD members to make reasonable efforts to obtain additional information
Hello I have submitted a previous comment but I wanted to include this as well. I and I'm sure others have stated there needs to be a very big regulatory body added for oversight into darkpool trading, more frequent checks on capital and sources of capital from any market maker or large organization sucks as hedge fund participating in our markets, and there needs to be a responsible party
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
The whole point of having access to decentralized finance is so we have an opportunity to take some of our fiat currency and attempt to preserve our assets value in the midst of inflation. Please keep your hands out of my pockets. I already pay every tax under the sun.
Individual investors nowadays have the smarts to make their own decisions about asset allocation and the investment vehicles they choose.
Leveraged and inverse funds are a important tool to my investment strategies. Government should not take it away from small investors like me, leaving the option to the privileged only.
Dear Sir/Madam,
I oppose any restrictions to my right or ability to invest in leveraged and inverse funds, or other popular investments deemed to be complex. As an investor, one should understand the risk with any form of investments and have the rights to select all available public assets to invest in. Thank you.
Please dont take away my ability to invest how I want. Im an adult and responsible for my own decisions. Im sure very wealthy people will still have the ability to invest in more complex assets. Please allow the rest of us to have those options too.
Don't you dare. Keeping people out of opportunity will have radically negative effects. Its not fair or American in any way to restrict the public from obtaining assets they believe in. You can't keep pushing people so far, eventually violent protests or extreme action will occur.
Exchange-traded products (ETPs) including exchange-traded funds (ETFs), exchange-traded notes (ETNs), and commodity and currency ETPs have surged in popularity over the last decade. Risks vary for each product, with some types of ETPs exposing investors to both complexity and significant danger of losses. Volatility-linked ETPs are one such example.
(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial
