Furthering the divide between groups of citizens that are allowed to participate in capital markets and those who aren't will ultimately destroy the markets as it's slowly ripped apart. This is not the way to protect retail investors.
I'm a regular investor of pro 3 leverage intex etfs i have invested 80% of my capital to etf funds. I believe buy limitation may cause some issues to my portfolio.
I understand the risk of leveraged ETF/products and use them carefully. They help me get bigger returns with less capital. I should be able to choose what I invest in without having to pass tests.
These funds are a very logical option for retail investors to balance risk and even capitalize on volatility in market cycles like March 2020 and in flight at present. These should not be restricted in terms of retail access.
I do not agree on restricting independent investors to invest in protective investment categories such as inverse ETF's and other inverse traded funds to allow the benefits of securing my capital during down markets.
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations Managers
Senior Management
Options Exemption
Trading Activity Fee
Discussion In 2003, the Securities and Exchange Commission (SEC) approved amendments to the NASD By-Laws establishing a Trading Activity Fee (TAF).1 Among the covered securities excluded from the TAF are
I am opposed to FINRA interfering with my right to invest in funds such as BITO. I am opposed having to get special approval from my broker to invest in any security they are licensed to trade, I am opposed to having to attest to having read an materials. I am opposed to being required to go through and cooling off period, l am opposed to being required to taking a test imposed by a regulated of
Last Voting Date: May 31, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on proposed amendments to Article III of the NASD By-Laws and to Part I of Schedule C to the By-Laws to require that initial application for NASD membership be reviewed by a Subcommittee designated by the District Committee, with right of appeal
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
I oppose restrictions
on my right to invest in public investments. This should be a free market of buyers and sellers who freely choose how to invest capital. Please do not impose any more regulations.
