ACTION REQUESTED
Board Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of the National Association of Securities Dealers, Inc. (NASD®) will be held on September 13, 2001, at 10:00 a.m., at the Loews L'Enfant Plaza Hotel, 480 L'Enfant Plaza, SW, in Washington, DC. The purpose of the meeting is to
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
If leveraged funds are restricted to accredited or wealthy investors only, the wealth gap in the country will increase as the rich get richer in sophisticated products while everybody else languishes in plain old index funds. The system is already under question by common investors investors. Leaving products only for the few will certainly intensify any mistrust.
As long as the investment and brokers involved outline the risks, that is all the SEC should demand. Freedom for investment key to capitalistic system and should also include all International investments including China whom we must compete with and not restrict- restriction produces artificial competition which never works and only weakens our country!
Pushing unregulated crypto to the masses is nothing short of racketeering. I am a risk professional. Your industry has ZERO creditability in this arena. These products are the only thing protecting retail investors from the FED fueled, financially engineered, derivatives death star. FINRA's attempt at regulation is an indictment on the financial systems lack risk management.
Hello: I believe that I, as a retail investor, should be able to choose my investments. All of the market is risk/reward; this seems a slippery slope. Here is how I use leveraged funds: I rebalance quarterly using a safe bond fund, selling the excess and buying the shortfall (See Jason Kelly's 3 sig. System). Sincerely, Dr. Saul Cohn
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS JULY 10, 1985
The National Association of Securities Dealers, Inc. is soliciting comments from members and other interested persons on a proposed amendment to Article III, Section 28 of the NASD's Rules of Fair Practice ("Section 28"), 1/ which would impose certain requirements on associated
I do not support these changes. I should not need approval from my bank to make an investment. These rules are ridiculous! I consult with a financial advisor from a well known institution. These investment tools are risky, but I feel they are unique and productive. They are made up of reputable companies. Regulators should be more concerned about crypto. A real pyramid system.
We want more frequent public reporting of short positions and more detail in public reports. The entire market is rigged. Authorities are not doing their job. The public think they are on the side of the hedge funds who have created all these problems and taken advantage of this broken system for decades.
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
