GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting Executive SummaryNASD provides interpretive guidance on the meaning of the terms "foreign private issuer" and "issue date
I as a private citizen should be allowed to make investment decisions without being regulated, this is part of what makes America great and leads to inovation on many levels.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.
I am writing to express my opinion about regulating investment choices.
The government has no right to interfere with a person's choice of where to invest. This is a personal and private matter.
No government agency should be telling a citizen where and how to invest their money. This is a massive over reach. Similar to forcing average citizens out of private equity investing.
Levered ETFs is the only way average Americans can get private equity like returns that the rich are availed.
People are smart enough to make their own investment decisions!
Comments: I am a private investor that has been trading leveraged funds (Rydex then ETF's) for over 20 years and do not want this taken away from me. Thanks-Steven
I am a independent and private investor. I am
highly against the proposed legislation that would limit where I can invest my hard earned money.
I will be watching this issue closely.
