I currently enjoy my right to choose my own financial investments. I don't want to go through a special process to invest in securities that I am fully capable of understanding. Please leave this alone and don't change anything or add any new rules for investment in these leveraged funds.
The Best Execution section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Anti-Money Laundering (AML) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Investors should be allowed to invest as they see fit without regulatory intervention. I use derivatives as a way to hedge my investments and do not want to be restricted. There are already rules in place to protect inexperienced investors and we do not need more regulations. I am opposed to any additional regulations.
[REDACTED] socialist elites want to strip Main Street investors from opportunities they will reserve for themselves like insider trading. Who could be more of an insider trader than Nancy Pelosi and the rest of Congress they only want two classes in America the ruling elite and the rest of us
If you are going to change rules -- do it at a point where the commodity is at a neutral point -- say nat gas at $3.00 that way you do not hurt investors who need the inverse to recover a position affected by a parabolic run up -- do it -- but not at a point that seriously hurts some investors
Comments:
This is to inform you that there is no need of enhancements to current rules for Brokerage firms. There is already a warning at Brokerage firms and that is sufficient. We know they are short term and monitor them daily. No change is needed. This is in regards to Leveraged and Inverse ETF's. Please do NOT limit access. I depend upon them!
The people of The United States have the right to make their own decisions regarding investments. I use technical analysis as guidance to invest for my families future. You have no right to change the rules when we the people can profit in a recession.
Sincerely, Donald Ray Scott Jr. (c)
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
