This regulation doesn't help me as a consumer or investor. It hurts me. It takes away my options and my ability to decide what is right for me and my finances. The attitude that individual investors are too dumb to understand "complex" investments is offensive. I do my homework and choose my investments based on my own risk profile, investment vehicles and asset classes that I
I invest in Leveraged ETF Options as a strategy and occasionally in the Leveraged ETF's themselves. I have been doing this for over 15 years. I have achieved a net profit every single year since I’ve started using them regardless of whether the market is up or down. I strongly believe that I should be able to choose the investments that are right for me and that all public investments
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
The concept of efficient markets is a joke and short selling of any sort should be illegal. I have no faith in FINRA, DTCC, SEC, etc. Any further participation in the US market on my end will be through directly registered securities outside the DTC. Self-regulating organizations are non-regulated organizations. The SEC/DTCC/FINRA should have zero links to market makers, banks, and hedge-funds,
1) SEC regulations are very confusing and at times it appears as though there isn't an actual run book that staff use before concluding if something is a security or currency. Another area for improvement in this space is helping people form an appropriate approach, and lastly crack down on these exchanges. Some of them are dodgy [REDACTED]. 2) I did like Binanaces approach to educating
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule in 1989:
January 2
New Year's Day (Observed)
July 4
Independence Day
February 20
Presidents' Day
September 4
Labor Day
March 24
Good Friday
November 23
Why are we still having to ask for basic accountability in the year 2022? The reason is because crime pays and the self reportive market is riddled with fraud as the past several months of Sec fines proves there is a glaring problem. https://www.sec.gov/news/pressreleases The DOJ mentioned using the RICO act for a reason and it is time to implement a computer tracking system to get with the times
I have worked in the financial services industry for over 20 years and do not feel these investment funds are too complex or should be limited in any way.
As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 28, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGU.GA
Amerisourcebergen Corp
8.
