I feel that it is not the government's job to operate as big brother and tell me what I can and can't invest MY money in as far as the stock market is concerned. Inverse and leveraged funds have a place in my portfolio. They are in there for multiple purposes. Most of the time they are used for short term hedges and other times they are helpful in swing trades when the market is going
It is of utmost importance that people have the full freedom to deploy their money into whatever they want without major obstructions.
As it is, to protect investors, ETFs already have disclaimers, which spell out the risks. In addition, some broker accounts won't even let investors buy some ETFs or penny stocks unless the risk profile is set to be "aggressive".
When
The Reasonable Diligence for Private Placements section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Myself and my partner should be able to choose the public investments that are right for ourselves and our family. Public investments should be available to all of the public, not just the privileged. We both enjoy the complexities of the stock market and the option to invest in what we see fit. Please do not limit those of us who have fought for this country (I am a Veteran) and too often do I
REQUEST FOR COMMENT
Research Analysts and Research Reports
Comment Period Expires: August 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Investment Banking
Research Reports
Small Firms
Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711,
Have now studied the stock market and how groups like CITADEL have been absolutely stealing from the Global Investment Community while SEC/FINRA/LEGISLATORS/PRESIDENT are simply turning a blind eye to Naked Shorting/handling FTD's and being able to manipulate stock prices by using borrowed shares in DARK POOL TRADING. Ken Griffin needs to feel the pain that he has caused the world retail
i as a retail investor believe that institutions have for far too long been able to maneuver the market at a whim and arent beholden to the same type of rules as the average investor. in such a world, whales are able to make big (and sometimes) dumb moves and the average investor is handicapped when looking to make informed trades about such moves. Often the data that we are presented is
(a) Confirmations or Comparisons
(1) Each party to the transaction shall send a written "when, as and if issued" or "when as and if distributed" confirmation or comparison in the same form as set forth in the Sample Form appearing in Supplementary Material .01 of this Rule and pursuant to the requirements of Rules 11210(a), 11220, and 11860.
(2) Each confirmation or
Top 10 Financial Capability
Rate of Change: Interest Rate Cycles Since the 1970s
Cybersecurity and the Financial Industry
The Fine Print on Real Estate Investment Trusts
Looking for One in a Billion
High Frequency Trading
If you want to use any of these infographics, please contact FINRA's Office of Media Relations at
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Systems
Trading
Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995.
Overall Conclusions
Based on its Review, the Select Committee concludes that the NASD® has discharged its self-regulatory responsibilities, not of course with perfection or
