SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
TO: All NASD Members and Other Interested Persons
SUMMARY
The NASD Board of Governors believes it is necessary to clarify its policy with respect to trading in stock and index options by members or persons associated with a member while in possession of material, non-public market information concerning imminent transactions of block size. Under certain circumstances, this type of activity,
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 16, 1986, 27 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,569. These 27 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
I feel that I, not regulators, should have the right to choose the public investments that's best for my family. Publix investment s should be available to all the public, not just the privileged.
I should not have to pass a test in order to invest in public securities, including cryptoocurrency. I am capable of understanding the risk in these types of investments. And I can also
I oppose any action that limits the right of any America citizen to invest in Public investments. I am fully capable of making my investment decisions on my own and am fully capable of understanding the risks should I choose to make them. I do not need to pass a test to demonstrate my investment acumen. The results of my investments will be the testament of my knowledge. This is beyond the role
More regulations are NOT necessary. Retail investors should be able to freely choose what to invest in. Demanding us to pass tests or going through other special processes is annoying. Restrictions on retail customer access to complex products are even worse - they are unreasonable and unfair. As a leveraged fund investor, I always read through the information and assess risks before making an
I have been investing a long time and have bought individual stocks, bonds, ETFs. I have shorted the Market through ETFs. I realize the risks involved. Currently we are in a period where the major market indices are falling. Now is the perfect time to protect part of your portfolio with an ETF that shorts the market. It is like insurance on your home. The goal is to protect your investment. I
Dear Sirs:
I do not think adding additional requirements to the use of leveraged/inverse investments should be used. We have enough regulations now. If an individual wants to use these they already have to agree to various forms required by the brokerage they use.
I don't need to go through any more tests, classes or regulation in my investment decisions.
Let me decide on what I want
Leveraged Funds are a very important part of my investment which has enabled me to achieve my investment goals that would've been otherwise not possible to achieve. I strongly oppose the proposal by FINRA to restrict the use of Leveraged funds by common investors.
I really don't think the small investors have to go through any special process like passing a test before investing
I am a long term investor. Leveraged and inverse funds are important to my investment strategy. They are a small, but important vehicle for hedging against dramatic swings in the market and are crucial to balancing my portfolio. I understand and accept the risks inherent to the use of inverse funds and do not need special tests in order to invest in them. I believe the proposed restrictions
