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Trading Activity Fee
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Legal & Compliance
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Options Exemption
Trading Activity Fee
Discussion In 2003, the Securities and Exchange Commission (SEC) approved amendments to the NASD By-Laws establishing a Trading Activity Fee (TAF).1 Among the covered securities excluded from the TAF are
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Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
I would like to express that there should NOT be any regulatory restriction for regular investors to have access to leveraged and inverse funds.
In my opinion it should be me, not regulators, that control my ability to select investment options that are right for myself.
It is my belief that public investments should continue to be available to the entire public, not simply the privileged
To whom it may concern at the Financial Industry Regulation Authority,
I am aware that you are planning to ban the ability of some citizens of this country to be able to invest in complex investment funds such as leveraged and inverse investments. I believe that I should be who decides how I invest my money and not a government agency who does not know me or how or why I invest in these funds. As
Dear regulators,
I should be able to choose publicly available investments that are right for me and my family. This filling is an over reach. Ordinary Investors like myself and others are much more sophisticated, informed, educated, and savvy than previous generations. With the the prevalence of Fintech platforms and the Internet financial education has never been easier to obtain, and reliance
I am writing in regards to possible legislation which would limit the use of leveraged and inverse ETF's. I ask that you please do not limit or get rid of these ETF's. These financial instruments have given me the ability to grow my retirement account faster and provide supplemental income for my family. If you want to put an additional disclaimer that investors are required
To whom it may concern:
I am writing to express great concern that the FINRA policies under consideration will limit my access to leveraged and inverse funds.
These products are an important part of my investment strategy. With leveraged funds I have flexibility to invest without taking on debt, manage risks against rising or falling markets, and make personal investment decisions on hedging or
