SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved an amendment to Article HI, Section 21 of the NASD Rules of Fair Practice to require the marking of customer order tickets for
These rules and regulations are for the rich to stay rich and so the retail average investor has little to no chance. Larger investors simply have the capital and can just buy their way into privilege. Someone's access to financial products should not be limited to their class as your access to medical care should not and is not limited to your class race or anything for that matter. We all
Our country is founded on Freedom guarunteed in the constitution. Any actions by Government outside groups to limit our Freedom of choice or centralize control, represent a degredation of our Freedom. Investing in a free market is a key element of citizen right to freely earn through investments and is no business of the FINRA. I suspect the potential rule is being pushed to protect investors
This is another rule that is supposed to be good for the retail investor but is awful for the retail investor. Like the $25,000 limit set to day trading, this is just another tactic to keep the average American unable to even get a chance to get out of the day to day drudgery of paycheck to paycheck. We need to pass a test to trade something we've been trading for years? Cryptocurrency funds
The Series 26 exam — the Investment Company and Variable contracts Products Principal Qualification Exam (IP) — assesses the competency of an entry-level principal to perform their job as an investment company and variable products principal.
TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
I think people should have the right to choose their financial destiny. I have made significant profits using options and actually ran into more issues with imposed regulations and stockbroker policies. There are plenty of tools out there to learn about options. I do understand placing monetary limits on certain types of trading to avoid massive defaults but these should be allowed. Also, you
Dear regulators, I do not think it is appropriate to further regulate investors in this regard. I am not a professional investor according to most definitions, but still I have been able to use several leveraged funds *more* effectively than I have individual securities. The regulatory restrictions that apply to me actually tend to result in *worse* decisions on my part, not better. I do not
As an MBA, I understand the importance of investment and knowledge of investment. Regulation of retail investment is not appropriate. As a business professional with financial knowledge - these rule changes have will have little to no impact on me. Others, however will be harmed by them.
As a free market society - we should have more freedom in what we are allowed to do with our money vs less
I strongly oppose this rule of banning the 3x leverage ETF. Its so unfair to take away our normal peoples limited resources away from us. The big institutes and the rich have all resources to do their investments. The stock market is the most important way for us to grow our assets and 3x ETFs are an very important component or it. I strongly oppose the ban of 3x ETF. Its not fair for us.
