Please do not take away my ability to invest in leveraged ETF and into anything. I'm well aware of what I'm doing and I don't need to be restricted by regulators. There are way too many restrictions on US investors already.
Tying ability to invest to net worth is elitist and exclusionary. It further perpetuates the wealth gap because one could only become wealthy
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 3, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,788. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
On this recording of a June 8, 2017, TRACE Phone-In Workshop, FINRA staff review relevant rules and regulations, and discuss testing and other relevant technical information related to the July 10 requirement for to begin reporting transactions in U.S. Treasury Securities to FINRA via the Trade Reporting and Compliance Engine (TRACE).
(a) Except as provided in SEA Rules 15c2-11(a)(1)(ii), 15c2-11(f)(1) through (7), and 15c2-11(g), no member shall initiate or resume the quotation of a non-exchange-listed security in any quotation medium unless the member has demonstrated compliance with this Rule and the applicable requirements for information maintenance under SEA Rule 15c2-11. Except as provided in paragraph (b) of this Rule
Options and other potentially complex investments represent one of the only ways that those without means may change their lives. Blocking everyday people from such channels is tantamount to constraining them to lives of poverty and lack. Why should only well-off people, often those who were merely lucky enough to 'win the birth lottery', be allowed to better their lives? Why should
I definitely do not want FINRA to make any changes to Proposed Rule #22-08. Public traded funds need to remain public. This almost reminds me that I may not be ELITE enough to participate in what has always been available to the public. The thought of being tested to see if I know enough about these funds is ludicrous. I don't believe that FINRA should be awarded this kind of control over
Dear FINRA Regulators,
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and
I want to relay my concerns about the referenced regulatory notice.
I do not believe any incremental regulatory requirements should be placed on leveraged investment instruments. I disagree with the notion of testing, thresholds, net worth requirements and so on. These are public instruments that should be made available to all. Firms selling these products are quite clear communicating the
To Whom It May Concern,
Me not regulators should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities,
like leveraged and inverse funds.
I am
