TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 15, 1985, 14 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/ NMS to 2,149. These 14 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I would like to state that I oppose any restrictions to my right to invest in what is right for my family. These are very complex times that have not been encountered in decades of economic and financial history. Leveraged and inverse funds are part of the tools available to investors to manage risk and create investment strategies, such as hedging a portfolio. Also, one should not have to go
Introduction: Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information
By Judith R. Starr *
Introduction by Alma Angotti **
Introduction
On October 26, 2001, President George W. Bush signed into law the USA PATRIOT Act (Patriot Act). Title III of the Patriot Act, entitled "International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001,
I oppose the proposed restrictions on my right to invest in inverse and leveraged funds. I am not a professional investor, but as one who has managed most of my own investments for 20 years, I realize that there is inherent risk in financial investing (as in all of life). Investing in leveraged and inverse funds is an integral part of my investment strategy and I do it recognizing that there
Individual investors should be free to make their own investment choices in well regulated markets. Taking away or making it more difficult to invest in leveraged and inverse financial products could drive investors away from regulated markets and subject them to increased fraud. The risks associated with these products is already well documented in the prospectus. These types of investment
I fully understand these types of investments and am very disappointed in this proposal. We should be free to invest as we see fit. It is my money, not the governments. I do not need to jump through arbitrary hoops. I am respectfully asking you not to take MY freedom from me - You are not responsible for my decisions on what where or when I invest. You should focus on rooting out securities fraud
I oppose any regulations that further restrict my ability to invest and manage my own investments as I see fit. It is my money and I know from experience that even with a leveraged fund investment it is still safer that letting someone else invest it for me. The financial industry if full of operators looking to rip off the average investor and you should be looking to more highly regulate them,
I am bumping up against this issue on IBKR. When I invest, I like to be able to choose what I do - regardless of risk. I don't mind if the Brokerage wants to supply me with information, but I do not wish to be controlled. My financials are not controlled in other areas of my life and I can easily lose large amounts of money in many different ways. I am an adult; inform me, keeping
Dear FINRA,
I respectfully ask you to please refrain from enacting any additional regulations on this type of funds. A statement that notifies the buyer of the risk already has to be signed!
There is no need for any additional onerous regulations in buying this type of fund in a free market environment.
The purchase of these funds should not be limited to the super wealthy or financial experts
As an American I earn my money and am educated enough to make my own investments. Why should someone who is rich already be allowed to make investments while I can't? You claim it's because they're financially savvy, but I disagree. How many millionaires have gone through bankruptcy and how many are very uneducated? The answer is a lot. If I want to risk my hard earned
