GUIDANCE
Fee Increase for Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Extension of Time Requests
Fees
Regulation T
Schedule A to NASD By-Laws
SEC Rule 15c3-3
Executive Summary
On May 15, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate
Me not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities,
like leveraged and inverse funds
Leveraged and inverse funds are important to my investment strategies. 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 these restrictions on my right to invest.
It's important for every citizen to have the right to purchase whatever stock we want. We need to retain the freedom to do this. Why take away our freedom. I don't need to take a test to be able to make informed decisions on stock purchases and I don't need anyone else making my decisions for me.
I, not regulators, should be able to invest for myself. I shouldnt have to go through special process & testing before I invest my money into leveraged and inverse funds. I am capable of understanding leveraged and inverse funds. I dont need regulators to impose measures on me. Leveraged and inverse are important investment strategies to hedge other accounts.
Please let me continue making investment what is right for me . I should not go through any test for making public investments . I been investing for more than ten years now and looking for enhanced returns . Please let me make decisions what js good for me for investing in public investments.
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
I have been investing in leveraged funds for over 10 years and I am aware of the risks. Leveraged funds help my portfolio perform better with higher returns. I do not need any classes or tests or certificates to trade these funds. If you do then you should make every single investor in the market do the same.
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. Myself and the public are capable of understanding leveraged and inverse funds and their risks. Leveraged and inverse funds are important to my investment strategies. I do not need these measures imposed on me.
