I not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse
I have invested for many years in inverse and leveraged funds for my investment portfolio. I use them to hedge positions as well as enhancing returns. I should be able to invest at my own risk without permission from regulators. As a college graduate in math, I am able to understand this product! I should not have to go through a test to be able to invest In securities that are public. For my
Hello just a few concerns about sec proposed rule#57 I believe it should be my choice not regulators should be able to choose the public investments that are right forme and your family. Public investments should be available to all of the public, not just the privileged. I also believe I shouldn't have to go through any special process like passing a test before I can invest in public
I oppose restrictions on my right to invest in public investments. I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am
I not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
I shouldn't have to go through any special process
like passing a test before you can invest in public securities,
like leveraged and inverse funds. Explain that you are
COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.
FINRA DRS is committed to providing training and resources to arbitrators on how to use
Beginning May 15, 2023, as described in Regulatory Notice 22-12, members must report transactions in TRACE Corporate securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation.
The TRAQS User Guide, TRACE FIX, and TRACE ATDS,
I really don't feel like I need the government to "protect" me from risky investments like inverse funds. This is a free market and I would like to be free to invest in anything I deem appropriate. If a trade goes bad, I don't expect anyone to bail me out. This is my money and my choice. I have to accept the risk I am taking on.
Retail investors shouldn
Before you can buy a house, you will need to shop for—and qualify for—a home loan.
In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential supervisory
