SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing the views of the Corporate Financing Committee on questions that members frequently ask when they are involved in offerings of securities to be conducted pursuant to SEC Rule
I vote no to the proposed rule number S72 415 restricting my rights to buy leverage funds. I should have the right to invest my money the way I want to.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 1, 1990, the SEC approved an amendment to Schedule H of the NASD By-Laws to require member firms to file specified information with the NASD before initiating (or resuming) a quotation of a non-NASDAQ over-the-
FINRA Reminds Alternative Trading Systems of Their Reporting Obligations
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the fourth quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-65
October 1, 1985
SIPC Trustee
Please dont make any changes to the current rules on leveraged ETFs. Its a great tool that regular, individual investors like me can use to grow assets.
I feel that regulators should not set rules for common folk to purchase certain stocks. it should be our right to purchase what we want without interference. Thank you
Comments:
This is wrong! Fundamentally, we are free to invest our own money as we please within the law. We don't need to be babysitted with your "enhancements" to the current rules.
I believe current rule and regulation is sufficient for individual investors to be able to able to invest in their on choice in leveraged funds. I am for the level playing field for the public in the investing and trading world.
This is a terrible rule. Lets have less regulation rather than you power hungry regulators doing everything you can to prevent regular people from investing.
