To whom it may concern.
I believe that current FINRA regulations are sufficient, if followed by investors, to protect investors from investing without knowledge of the specifications of various investments, including such investments that might be inverse in nature and/or leveraged.
The investor always has the choice to use a broker who is supposed to act in a fiduciary manner.
Personally, I use
I oppose restrictions being considered associated with certain investment instruments, e.g., cryptocurrency funds. Various financial instruments are critical to portfolio diversification and risk mitigation. Commodities, precious metals, real estate, hedge funds, stocks, bonds, mutual funds, exchange-traded funds, annuities, insurance policies, trading on margin, short-sales, futures, and
As someone who regularly and frequently invests in publicly traded securities it is my view that the federal government and its agencies do not have the right to tell individual investors what we can and cannot invest our money in. How or when I invest my assets is my decision and should not be limited by anyone. Federal regulators cannot know or understand the individual investors risk tolerance
I am writing to oppose restrictions to my right to invest in certain securities. These products can be very risky, and all investing has inherent risk, it depends on the person's financial situation and risk appetite. These restrictions are not representative of a free market, capitalism, or America itself. Keeping these complex products around allows investors to understand more pieces
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This conference comes at an important time, in the aftermath of a very difficult period. If we look back to the summer and fall of 2008, every time we thought conditions in the financial sector couldn't get worse, they did, and we ultimately came to the brink of a global market meltdown.
TO; All NASD Members
LAST VOTING DATE IS MAY 28, 1988
EXECUTIVE SUMMARY
NASD members are invited to vote on new Section 3 to Article VII of the NASD By-Laws, which grants emergency authority to the NASD Board of Governors and a committee consisting of the Chairman of the Board (or Vice Chairman in his absence), the NASD President, and a member of the Executive Committee—to take various actions
I strongly believe it is of the utmost importance that the general public be allowed to invest in these publicly available securities. They allow people with smaller amounts of capital to get the exposure they need to the market, and invest for they and their family's future financial well-being. Limiting these investments to professionals or only those with high capital would be class
To whom it may concern, I would like to voice my concerns regarding the following: Naked short selling High frequency trading algorithms Payment for order flow Dark pools Over the course of 2021, meme stocks have made quite a splash in financial markets and exposed what would constitute fraud for the average person, but turns into "savvy investing" for financial institutions. The
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
