We do not need any federal agency to initiate any more regulations in this area. Federal oversight of finances has led to trillions and trillions and trillions in debt, with zero actual money or assets in the Social Security trust fund. Please, please keep your hands out of this. You have done enough damage already.
Leveraged and inverse funds are essential to my investment strategy, which involves extensive diversification among asset class and rebalancing. These funds allow me to run a sophisticated strategy that would otherwise be unavailable to me. With simple disclosures, the public can safely use these funds to access strategies that would otherwise only be available to the very wealthy.
Individual investors NEED access to ETFs, and taking access away is against American principles of a free market. ANY investment carries a risk, and by eliminating access to ETFs you are not eliminating risk, you're simply transfering risk to another asset group or to another institution/agent which, by all accounts, is NOT a better solution for the average investor.
Thank you.
Overview
FINRA launched the Helpline on April 20, 2015 to provide investors with access to specially trained FINRA staff who can assist senior and vulnerable adult investors with questions or concerns about their brokerage accounts and investments. As of December 31, 2019,5 the Helpline has received over 18,000 calls from all 50 states and several countries. Helpline callers range in age from 17
Bitcoin is now a standard, conventional asset class, along with stocks, bonds, and precious metals. US citizens should be able to freely invest in bitcoin and bitcoin-tracking funds if they wish. Citizens benefit from having a greater diversity of investment options, including bitcoin and bitcoin-tracking funds. The reality of investing is that each person is responsible for their own investments
(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
What happened to capitalism???
Background
An important part of FINRA's work involves providing investors the information and tools they require to make informed decisions about their assets and avoid dealings with bad actors. Several respondents to the Special Notice on Engagement issued in March 2017 provided a range of recommendations related to FINRA's efforts in the area of investor education—including the types
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 2, 1986, 27 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,550. These 27 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
