I am a small investor and have been investing and trading for more than 10 years. I have only recently been able to invest in crypto, but do not have a high net worth. There are many of us in this category. Please don't take away our ability to invest in new areas.
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
Quality of Markets Violations
• ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B
• Backing Away
• Best Execution and Interpositioning
• Confirmation of Transactions (SEC
This data provides comprehensive information for asset-backed securities (ABSs) that traded within the past 10 years. An ABS offers returns based on the repayment of debt owed by a pool of consumers. Learn more about ABSs and other bond types.Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies.
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited
Comment Period Expires August 1, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Registered Representatives
Training
Executive Summary
On November 10, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Interpretive Memorandum 2830-1 (IM-2830-1) to clarify the application of the mutual
I am financially literate after being a mortgage backed security credit analyst for 35 Years. Who are you to direct my investment choices and trading abilities? And I only use levered funds when no unlevered option is available such as YCS. YOU KNOW NOTHING! STOP IT! STOP IT! STOP IT!
I have been using leveraged etfs for a long time successfully. If you have educated yourself about the risks and have they work, they are very safe to use. The government should not make it difficult for investors to use these tools that have proven to very effective as a part of a multi prong trading strategy.
Please do not restrict my rights to choose what I invest in. Any publicly traded stock should be just that. Public. If I want to buy it I should not have to pass any kind of test. I am just as smart as any regulator and am able to make my own investing decisions.
I oppose restrictions on the public's right to trade "complex" investments. I use leverage and inverse funds on a daily basis in my investment strategies. They are not hard for the average investor to understand. Adding red tape and complexity around these instruments is not in the investing public's best interests. I request that you reject these proposed rules.
