I am a small investor who needs the opportunity to prevent losses due to changes in the stock market. Taking away ability to protect my assets will severely impact my ablity to support myself and my family. Public investments, such as the ones FINRA is proposing to impose special requirements on, should be available to all Americans and not for just the privileged. The proposed changes to #S7-24-
It's a great opportunity for individual investors to inevet their capital in leverage ETF to againt inflation. The regulator should not take this civil right away. It should treat same way for future/commodity market and ETF market. Everyone should be able to acess these two markets in same way.
Vix or UVXY or SQQQ is THE BEST WAY TO CONSERVE MY CAPITAL during a down market like the present market. We not regulators should be able to choose the public investments that are right for myself and my family. Public investments should be available to all of the public, not just the privileged.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 12, 1991, the following 38 issues joined Nasdaq/NMS, bringing the total number of issues to 2,560:
Symbol
Company
Entry Date
SOES Execution Level
OWWH
OW Office Warehouse, Inc.
5/15/91
500
DNKG
Danek Group, Inc.
5/17/91
1000
Don't do this! Why do you want to restrict free market capitalism? Do you just want to control everything we do? Get a life! The kind of activity you're trying to restrict is the life blood of our economy. The government doesn't have to control everything!
I am an independent, qualified investor with an MBA in Finance from The Wharton School. As an American, I should have the freedom and right to invest MY capital in anything wish. If the government restores my losses (you already tax my gains) then you can tell what I can/can't invest in.
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
REQUEST FOR COMMENTSubordination AgreementsComment Period Expires November 26, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAppendix D to the Net Capital RuleNet CapitalSEC Rule 15c3-1Subordination AgreementsSubordinated LoansExecutive SummaryIn 2002, NASD adopted a requirement that firms submitting subordination agreements to NASD staff for approval provide
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
While I understand that this RFC is for members to provide feedback, I would like to provide some general comments as an individual investor who makes extensive use of geared ETFs. Accordingly, most of my comments are "geared" towards them (sorry, had to!). For your consideration:
1. There is no relationship or similarity between the various products outlined in this RFC.
