Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
Effective Date: July 1, 1997
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The following is a corrected list of the Small Order Execution SystemSM (SOESSM) tier size changes that became effective on July 1, 1997. The list of SOES tier size
Sec. 11.1 FINRA shall be the sole stockholder of the capital stock of FINRA Regulation.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
We live in a Constitutional Federal Republic that has become the most successful nation in history because of Free Market Capitalism! Our constitutional system puts the emphasis on individual freedom, and our capitalist economy is also based on individual freedom, which includes the freedom to choose badly and fail! Stay [REDACTED] out of our business, away from our freedom, and keep your Big
Hello
I am an investor with over 25 years of investment experience. I should be able to buy/ trade any public investment that is available in the market place that fits my objectives. Institutions already have a lot of advanced capabilities thats not available to individuals like me. Leveraged and inverse ETFs are an effective way of hedging and reduce capital risk. I know the risk and benefits
Dear Sir,
I was made aware of the possibility of trading restrictions being placed on inverse and leveraged investment vehicles.
Using these types of investments allows me to safe guard my portfolio from market declines without having to liquidate my primary investments using only a small portion of my capital. I prefer them to options as I don't have to worry about expiration dates.
I am an educated adult American citizen. I am fully capable of making my own decisions on what security to invest in, including leveraged and inverse funds. In fact inverse funds specifically allow me to increase my capital in down markets instead of just sitting on the sidelines. I dont need or want a government or quasi government agency telling me what I can invest in, or reserving inverse and
I oppose regulators limiting trades on inverse and leveraged etf's and stocks where the investors are fully aware of the risks. These options allow small retail investors the opportunity to compete with large banks and funds in a way that would otherwise not be possible helping to keep the playing field level. I primarily use these to hedge my long positions in volatile markets. It
Gentlemen - Your proposed limitations on investments such as "leveraged" and "inverse" funds are antithetical to free capital markets and an insult to the intelligence of American investors. We don't need your"help" or "guidance", or any other "assistance" from government bureaucrats who have never
I own/invest in leverage or inverse funds to maximize my returns over a shorter period of time. The benefits of investing in these funds allow me flexibility, to place trailing stop limit orders & grow capital appreciation over time. I purchase leverage or inverse funds on my own, usually using Schwab or Fidelity.
The ability to purchase funds independently like this is extremely
