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SEC Approves Consolidated Telemarketing Rule
I oppose new rule making that would make leveraged and inverse ETFs difficult or impossible for normal investors to buy. I have used these sorts of ETFs in the past profitably for both hedging risks and investment purposes. I believe these products are both understandable and useful to the average investor.
Given the recent blow-up of so-called qualified investors and family offices like Bill
Dear SEC Officer:
Leveraged funds are important to me, and they allow me to seek enhanced returns and help protect my investment portfolio. I am capable of understanding the leveraged funds and their performance, and do not want a third-party evaluating my capability to do so and potentially preventing me from buying them. I want to preserve the long-standing free public markets where investors
Sec. 5.6 FINRA Dispute Resolution may secure the fidelity of any or all of its officers, agents, or employees by bond or otherwise.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.
Selected Notice: 10-32.
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Leave the citizen out of your screw up. We didn't make it. When you took office the economy was booming and you couldn't stand it,so you had the nerve to put us in terrible fix and you don't know how to get out of it. That's all the Dumbrats know how to fix it. Sick of it. Hope you lose the election in November in a land slide, so America can become a great
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.
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Executive Summary
Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the
