SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On April 17, 1991, the Department of Treasury issued 56 FR 15529-15532 containing proposed amendments to 17 CFR Part 403 ("Protection of Customer Securities and Balances"). The proposal would implement a buy-
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 12, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, under Article III, Section 1 of the NASD Rules of Fair Practice. The amendment would require a qualified independent underwriter to provide a pricing opinion
I wish to choose the public investments I invest in myself. There doesn't need be testing to purchase these investments as I fully understand leveraged and inverse funds. I use the ProShares UltraShort 20+ Year Treasury (TBT) to hedge against rising interest rates. Thank goodness this investment is available to the general public!
I believe it is in my best interest to be able to invest in leveraged funds or not. As with any investment made available to the public, there are risks involved. There are so many other types of funds that have more risk than leveraged ETFs which are not under scrutiny.
Please allow these investments available to the public.
I am an AMC stockholder. There are a lot of market hijinks going on right now. I would love for you to investigate all the counterfeit shares and naked shorts that are ruining the natural squeeze of this stock. The market needs to be cleaned up and made fair for all....not just the rich. Thank you for your time.
Please explain why naked short sale reporting has been allowed so many "Fail To Deliver's" for over 20 years and no one from any government agency has done anything about it? If the economy fails because of this regulatory neglect who will pay for the clean up?
I should be able to choose the public investment that is right for me and my family. Public investment should not just for privileged few. FINRA interest shows private few to get benefit out of PUBLIC fund. I object the restrictions or any measure introduce by FINRA on publicly traded fund.
Americans don't need anyone telling us how to invest especially a government agency. We all know you're NOT doing this in our best interest. Why don't you work on congress and the senate illegally buying stocks before you harass law abiding citizens.
I should be able to choose the public investment that is right for me and my family. Public investment should not just for privileged few. FINRA interest shows private few to get benefit out of PUBLIC fund. I object the restrictions or any measure introduce by FINRA on publicly traded fund.
