Notice of SFAC Election and Ballots
Dear FINRA Officer,
Leveraged ETFs have allowed me to make my self financially self reliant. I understand the risks after regularly investing in these for over 11 years. I have always taken a cautious approach and invest in these ETFs using only the excess savings beyond my contribution limits to my 401Ks and housing as a diversification strategy while having a safety net in other investing
Dear Sirs,
I'm concerned about the proposal of "Regulatory Notice 22-08". Indeed, it might be a must for regulators to take certain action on new financial products, but I don't think this restriction can solve the problem. The reason is listed below:
1.What serves as complex product is too ambiguous, that means, investors can’t figure out what investment tools
The decision on whether or not an inverse or leveraged product be available to an investor ought to rest solely with the investor. Any investor who would be willing to use such products is well aware of the risks and can make their own financial decisions. These are complicated products that the retail trader would not use. To be able to properly invest in financial markets requires extensive
Hi, I have following comments/concerns regarding the investment choices for individuals: I 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 just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the
A registered representative presently licensed with a member providing telemarketing services, under certain conditions, would not be required to also be registered with a client member.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 30, 1985
The National Association of Securities Dealers, Inc. (NASD), is soliciting comments from members and other interested persons on a proposed new rule (new paragraph (m), Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company shares
America stands for "Freedom." These regulations are unjust to your average blue color worker.
Most of us are full time employee workers don't have access to 401k's or Pensions. Companies these days simply don't offer them like the used to. Instead we get the one and only option of utilizing the IRA for retirement.
WhATs ThE BiG DeAL?
- 401k's
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
