Ive been recently informed of you trying to impose regulations & restrictions disqualifying normal people/investors from investing into crypto funds. I wanted to express my concern to everyone involved in hurting my portfolio & stopping me from investing into crypto funds such as BITO. I myself should be able to choose my own investments which are right for me, I take financial
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
I (not regulators) know my financial situation, investment time horizon, and how I want to structure my portfolio to meet my financial goals. I should be able to choose investments that are right for me and my family without government interference.
Leveraged funds are an important component of how my portfolio is structured, and I shouldn't have to go through any special process like
Summary
FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.
Questions concerning this
For years, the London Interbank Offered Rate (Libor) set the benchmark for global interest rates and impacted trillions of dollars in financial activity, leading many to call it as “the world’s most important number.” However, following controversies and reform efforts after the 2008 financial crisis, regulators in the United States and United Kingdom began exploring a replacement benchmark rate
Comments: As part of a long-term, diversified portfolio, a minor portion of my holdings lie in leveraged ETFs. The largest risk associated with these leveraged funds equates to nothing more than simple mathematics. An additional risk, which has already proven true in the past for other financial tools, is the prohibition of the common investor and trader from the use of these instruments.
I am
img.snapshot{border:1px solid #cccccc;margin-top:10px;}
.blueButton{
background-color: #1063A0;
color: #fff;
border-radius: 10px;
display: inline;
font-size: 14px;
max-width: 200px;
padding: 15px;
text-align: center;
text-transform: uppercase;
transition: all 0.3s ease-out;
width: calc(100% - 30px);
}
.blueButton a{color:#ffffff}
.Report_TOC{
The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
img.snapshot{border:1px solid #cccccc;margin-top:10px;}
.blueButton{
background-color: #1063A0;
color: #fff;
border-radius: 10px;
display: inline;
font-size: 14px;
max-width: 200px;
padding: 15px;
text-align: center;
text-transform: uppercase;
transition: all 0.3s ease-out;
width: calc(100% - 30px);
}
.blueButton a{color:#ffffff}
.Report_TOC{border:
Dear Sir or Madam,
I am writing to express my fear and displeasure in relation to the regulations being considered by FINRA that would prevent investors like myself from accessing products like leveraged ETFs.
I have worked for a decade in the financial industry designing systematic financial products and am a CFA charterholder.
I, like many others, have held positions in leveraged investments
