SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments, effective March 8, 1994, to remove the member vote requirement for adoption of, or amendment to, the Rules of Fair Practice, to incorporate Appendices A, B, C, E, and F into Sections 30 through 34 of the Rules of Fair Practice, and to
REQUEST FOR COMMENT
Rule Harmonization
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing Legal & Compliance
Registration
Senior Management
Branch Office
Initial Public Offering
Office of Supervisory Jurisdiction
Registration
Rule 2711 (Research Analysts and
Research Reports)
Rule 3010 (Supervision)
Rule Harmonization
I will always support my God giving will to choose what I want and to invest in securities I want to choose. Just because I gave my email above, I do not wish to be sent any further information on future communications use the current United States Postal Service. Sincerely and with
The more transparency the the better. The current system need improvement
Each investment carries its own set of risks. The basis of the free market is the principle that investors must bare the consequences of their investments whether the results are beneficial or detrimental. Providing information of risks is a beneficial service, but trading restrictions could harm smart investors with limited resources.
The Neutral Corner - Volume 3—2022
Financial planners can come from a variety of backgrounds and offer a variety of services. They might be brokers or investment advisers, insurance agents or practicing accountants—or they might have no financial credentials at all.
I invest in Leveraged ETF Options as a strategy and occasionally in the Leveraged ETF's themselves. I have been doing this for over 15 years. I have achieved a net profit every single year since Ive started using them regardless of whether the market is up or down. I strongly believe that I should be able to choose the investments that are right for me and that all public investments
To FINRA or To Whom It May Concern:
I have been having freedom on my own investments for a decade, and want to maintain my current freedom to invest in public securities of my choosing. As an American citizen, I/anyone should be able to choose the public investments that are right for us! I am grateful that the freedom of the exchange-traded funds that empower me and my family to pursue our
To whom it may concern,
Good evening,
It has been brought to my attention that there have been discussions of limitations and extreme regulations when investing in leveraged funds.
I believe strongly that this limitation goes against the nature of the free market which has been established in this country for many years. Any market participant has come to an understanding that there exists
