I'm just a lower-middle class investor. For the most part, the general public should be allowed to invest in inverse and leveraged funds as long as the companies providing them aren't out to scam the public with unreasonable and/or suspicious tricks. If there is something unusual about a fund, a brief-to-the-point and clear explanation, avoiding double-negative language,
I oppose the proposed rule regarding increased restrictions on trading certain funds / securities. I, and other members of the public, am capable of making investment decisions and can suitably analyze the benefits / drawbacks to various investments. Taking risks is a fundamental part of the human experience, and placing further limits on the kinds of people who can trade certain products will
Comments: The leveraged and inverse ETF products offered by Direxion and certain other institutions include complete descriptions of the risks associated with these types of investments and frequent warnings regarding risk in the product descriptions. Direxion even offers comprehensive explanations and educational materials with detailed product information. It is very clear in the fund
This proposal is just another attempt to restrict the options, retail investors have to invest in the market. Large institutions have always had a clear advantage, privy to information first, flash trading etc. Restricting retail investor's ability to short or long the markets using these types of vehicles is, once again giving the institutions the upper hand in playing in a field they
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
Comments: FREEDOM TO CHOOSE should be the norm. in the market any and all financial products have risk embedded. the ONLY way a trader can make use of those products in a limited risk situation is by having correct and updated information that is really understandable to most, specially pointing extreme risk situations and by educating himself on how to handle risk with those products. so, my
Summary
The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a
INFORMATIONAL
OTC Equity Securities
Effective Date: October 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Trading
NASD Rule 2315
OTC Equity Securities
Executive Summary
On August 22, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2315, Recommendations to Customers in OTC Equity Securities (
<p>Permissibility of electronic approval of accounts under NASD Rule 3110(c)(1)(C). (Note: Underlining indicates redactions from original letter).</p>
Hello, I wholeheartedly support FINRA's step toward a vastly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would be
