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.
Leveraged ETF/ETNs do pose risks most retail investors do not understand. However, retail investors that understand the risks should not be barred from utilizing these very useful assets. Broker-dealers should require due diligence in line with that of margin approval and options approval. Specific arguments for this approach include:
1. An investor can lose 100% of their investment in a
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.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
Applicants are
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
Symbol*
Company
Location
ARTW
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of July 27, 1995, the following 72 issues joined the Nasdaq National Market, bringing the total number of issues to 3,829:
Symbol
Company
SOES Entry Date
Execution Level
BRGP
Business Resource Group
6/28/95
500
NERAY
Nera AS (ADR)
6/28/95
