To whom it may concern:
I absolutely oppose any attempt to restrict my rights to invest. We live in a system of capitalism. I have all rights to determine how my hard earned money is invested. Regulators have no right to attempt to restrict individual investors from investment opportunities. Leveraged funds are a small part of my portfolio, but I have the rights to choose how and when I will
I would like the freedom and ability and the chance and opportunity to determine my future. My financial future. My family trees future. I have studied leveraged funds. I understand the risks. The rewards. And the government should not determine what investments the rich can make. And what investments the poor can make. If there is one set of rules for the rich, and another set of rules for the
I understand that a key investment vehicle that I use in management of my portfolio may be restricted by the proposed rules. I hope that I and other individual investors will not be restricted by these changes. Many of the systems and trading rules advantage big investors while small investors are unable to achieve the scale or resources to obtain these benefits.
Please don't restrict
Executive Summary
The Board of Governors of the Federal Reserve System (Fed) is adopting several amendments to Regulation T (Reg. T), the regulation that covers extensions of credit by and to brokers and dealers. These amendments reflect consideration of the comments submitted in response to the proposed rule issued by the Board for public comment on June 29, 1995, and reprinted in Notice to
This is not fair, and it restricts my ability to take part in free commerce. It is my responsibility for my own actions, protecting people from themselves does nothing but creates an elite system that affords no opportunity to the layman.
I should be able to choose how I invest MY MONEY!
I should not have regulations or restriction that a group of people whos sole aim would be to justify their
As previously reported, the FINRA/NYSE TRF experienced a processing issue that resulted in a subset of SIP trade reports being reported with an incorrect ‘Sold’ modifier. The FINRA/NYSE TRF has identified the cause of the issue and installed a fix last night to prevent the application of incorrect ‘Sold’ modifiers to trade reports beginning on November 18, 2021. Refer to the FINRA/NYSE
Please remember that we are the people who elect you. We should be able to invest as we see fit. I am confused as to why the government wants to restrict my ability to make my own investment decisions. I could understand if this were China or Russia. I feel like the party system here is becoming repressive to the point where individuals are devalued because we cant afford lobbyists.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
SEC Rule 15c3-3
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to
advise member firms and other interested parties of certain
actions and issues relating to the
Dear Sirs, equity markets are critical to the world economies and financial system. Restricting or eliminating the use of any instrument potentially reduces liquidity in these markets. Sophisticated investors use a variety of instruments in their portfolios. I use leveraged index ETFs as a hedge. Restricting or eliminating leveraged index ETFs will significantly impact my investment strategy.
FINRA’s Revolving Door provisions include Rules 9141(c), 9242(b) and 9910. These provisions limit or prohibit former FINRA officers or employees from making communications to, or appearances before, FINRA on behalf of another person when the purpose of the communication or appearance is to influence FINRA and codify existing confidentiality obligations of current and former FINRA officers and
