I do not want a regulator to mandate rules to prevent me from investing TQQQ, SQQQ or other leveraged funds. I am fully capable to decide how much I desire to put at risk.
Every individual should have easy access to publicly available investment vehicles. There can be a place for these types of investments in many portfolios and any proposed rules should support equal access.
THIS IS A SHAM AFTER 40 YRS OF INVESTING.NOW YOU WANT TO CHANGE THE RULE IN THE MIDLE OF THE GAME. THIS WILL MAKE ME STAY AWAY FROM YOUR GAMES. I SHOULD BE ABLE TO CHOSE THE INVESTMENT NOT THE REGULATORS.
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
I oppose any and all actions that would restrict the ability of any individual to invest their own property how they see fit, especially rules that intentionally exclude persons based on wealth or income.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article III, Section 27(g)(2) and a new Paragraph (g)(3) of the Rules of Fair Practice that would codify certain interpretations by the NASD
Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
Last Voting Date: September 27,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6954 to require members that transmit an intermarket sweep order ("ISO") to another member, electronic communications network, non-member, or exchange to record and report the fact that the order was an ISO.
Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
