Leveraged and inverse funds are a regular part of my investment portfolio, allowing me to hedge at appropriate times. Please do not consider or pass Rule #S7-24-15.
I am strongly against SEC Proposed Rule # S7-24-15. Individual Investors such as I need to have a tool such as these leveraged products in order to be able to compete with the big boys.
I opposed this rule. I want freedom to be able to invest. Leverage funds are important to my strategy. I should have the rights to invest in these funds without any special process
Rather than imposing arbitrary restrictions or adding more silly click-thrus, how about a focus on making education and training available, giving retail investors and traders the SAME information that institutional investors see. Perhaps the reason retail traders lost money on some of these things is because institutional investors have an artificial advantage created by current rules, and not
SUGGESTED ROUTING:*
Corporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has received a "No-Action Letter" (letter) from the Division of Corporation Finance of the Securities and Exchange Commission. It provides that a broker/dealer may rely on the provisions of SEC Rule 14a-2(b)(2
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-026 from December 31, 2020, to April 30, 2021. Due to the impacts of COVID-19 on the administration of FINRA qualification examinations at test centers, SR-
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
Last Voting Date: October 29, 1993
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsTrading
Executive Summary
The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require a member holding an open order to adjust the order by the amount of any dividend, payment, or distribution on the day that the security is quoted
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
