FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
(a) Members must implement policies and procedures that reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security.
(b) For purposes of this Rule, the following definitions shall apply:
(1) The term "crossing quotation" shall mean the display of a bid for an OTC Equity Security at a price that is
I not you regulators should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. This is how people make their dreams come true. This is yet another infringement on people's freedom of choice and ability to pursue their passions I shouldn't have to go through any special process like passing
I oppose restrictions on the right to invest in public investments. Please let me 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 few. I understand the risks and complete loss of principal of these investments. I shouldn't have to go through any special process like passing a test before I
Good morning. It has come to my attention that you are possibly looking to eliminate leveraged inverse ETF funds, or access to them by "normal" investors". Or, you would require going through a "special process" or test in order to have access to them. Please understand that NO ONE gets into these products without first doing research and learning about them. They are
I don't feel the government should be putting restrictions on my right to invest in common public investments. I understand that all investments have some inherit risk and the leveraged funds can be much more risky. I should not have to take a test or prove my net worth in order to be able to take part in these public funds. All of these funds release a prospectus that help investors
Re: Investing in leveraged and inverse funds I am submitting this because not only do I have the right to share my views, but the regulators are required to take my comments into consideration in deciding whether to move forward. I not regulators 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
I am a retail investor who enjoys testing and using various stock picking strategies for a part of my portfolio. I don't have any professional training in the workings of the stock market. However, I was a math major in college and a computer scientist by trade. I think I know enough to understand the basic concept of a leveraged ETF and/or inverse ETFs. I also use an analytical
I and investors like me, not regulators, should be able to choose public investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
Using ETF and inverse ETF securities, along with other strategies, allowed me to avoid the 35-40% decrease in portfolio value experienced by almost all 4000 mutual funds and like
