As an investor in leveraged funds, I find it upsetting, and frankly, ridiculous that regulators are investigating banning these funds in the name of protecting the consumer.
Enough with the government regulations to protect people from doing what they want with their money! Whats next, are you going to ban people from gambling away their savings unless they can pass a test first and/or show
I've invested in closed-end municipal bond and infrastructure mutual funds for 30-years that use a small amount of leverage to enhance performance. They give me much better and more stable returns than any government bond without the individual stock risk of owning only a few individual stocks. Your new rule would not only potentially lock me out of investing in what I want, totally
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
83-52
October 6, 1983
Group Surety Bond
This is complete insanity. Might as well be called the "Forced Pay Wall Street 3% Your Net Worth A Year Rule". Now advanced financial products will be cut off for everyone except the ultra wealthy? How could you possibly think this was a good idea? How about we drop the charade and just ban retail brokerage accounts. Really let wealth advisors run crazy when they know there is no one
It's especially important regulators hear from you in your own words. Please use the body of this email to customize your response.
NO NEED TO TEST ANYONE FOR INVESTMENTS OR ANY OTHER FINANCIAL DECISIONS. WE ARE THE PEOPLE. WE WILL VOTE YOU OUT OFFICE . OR YOU CAN JUST BE IMPEACHED.
ALL OF YOU. YOI ARE GUILTY OF INSIDER TRADING,.LAUNDERING MONEY, AND MAKEING THINGS SO EXPENSIVE WE ARE
I am highly concerned about FINRA Regulatory Notice #22-08 because it could negatively impact the time and effort I have put into managed my leveraged portfolio. By imposing rules that restrict the freedom of my financial decisions, the regulation will make generalizations about who is sufficiently knowledgeable about leveraged products to use them properly. Adding special hoops to jump through
Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraph (a)(2). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other extraordinary
At any time after the Office of Hearing Officers serves the Respondent (or counsel representing the Respondent, or other person authorized to represent others under Rule 9141, when counsel or other person authorized to represent others under Rule 9141 agrees to accept service for the Respondent) with a temporary or permanent cease and desist order, a Party may apply to the Hearing Panel to
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
