Complex products (ex: leveraged ETFs) are already limited in several wise ways. Limiting the leverage available to 3x is a good policy. However, completely gatekeeping who can access these products would simply increase inequality and unnecessarily increase costs for consumers. Gatekeeping access to all these complex opportunities would be akin to providing the unearned rent seeking through
Restricting retail investors' access to complex financial products reproduces an elite class of investors who can play by different rules than the average Joe. The proposed regulations seek to means-test and require convoluted checks which inherently restrict access to and mitigate the accessibility of smaller investors like myself to financial products that are an integral part of my
To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
As I see it, the current US market is full of nothing but fraud and blatant manipulation, with regulatory agencies doing nothing to police it to the point of them being complicit in these actions as well. They are complicit through their complacency, with years of unchecked fraud and market manipulation in several ways. Naked short selling by large hedge funds like Citadel, point72 and Melvin
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Hello,
My name is Christopher Francis Lewis Patterson. I am an non-traditional, first generation undergraduate Business Information Systems Major communicating to you in the midst of finals at CSUDH Dominguez Hills in Carson, California. There’s a lot of other details about me that you may find interesting relating to my upcoming dialogue, but that’s not what this comment is about.
I would like
GUIDANCE
Transfers of Mutual Funds and Variable Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Broker-Dealer of Record
Customer Account Transfers
Mutual Funds
Negative Response Letters
Rule 2110
Variable Annuities
Executive Summary
In September 2002, NASD issued
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
So Investments are too complex for us "regular" people? Discrimination much? Investments are only for those with a high net worth? Discrimination much? It's 2022, the time where we all talk about discrimination and how we can fix it. Well with what's been coming out of lawmakers hands in 2022, has been fueling the discrimination fire. I started investing in 2021 when CoinBase
