I am saddened to hear that regulators are considering adding more regulations to an already extremely regulated industry. I understand that investing is an inherently risky undertaking and certain regulations are needed to level the playing field, but having the regulators being the all knowing Nanny for what I can and can't invest in, is a bridge too far. Make the risks known, keep
I wish to continue to have the freedom and flexibility to invest my money as I see fit. Disclosures are already provided on the risks of levered investment products and our education system thankfully teaches every American how to read. If I were an accredited investor I wouldn't NEED to take above average risk for a potential above average return.
This would further increase inequality
No body of government has any right to tell the common man what and when he is allowed to invest his earnings. We have the basic right to attain to improve our position in life. actions such as these restrictions would impose, openly call to restrict people to particular classes of society. Actions such as these would openly create a new system of castes and open aritocracy. Those things are in
I oppose the proposed regulation. I should have the ability to invest how I see fit. I should not have to be part of the connected privileged class in order to invest in leveraged vehicles. This regulation is creating a two tiered class system which goes against all principles of this country. You should be embarrassed for even thinking such a regulation is necessary. You would be better suited
Rule Filing Status As Of July 7, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are either pending at the Securities and Exchange Commission (SEC) or recently have been approved by the SEC and have not been announced in a Notice to Members. The information is current as of July 7,
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Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
In May 1993, the NASD published Notice to Members 93-30, which set forth, in question and answer format, certain guidelines for compliance with recent amendments to the Securities and Exchange Commission (SEC) Net Capital Rule, Rule 15c3-1. The SEC adopted the amendments,
Changes in individual stock prices can be due to a specific company or industry event. But major changes in leading U.S. indexes can indicate a wider shift in investor sentiment, which might be driven by broader trends in the domestic or global economy. These changes that can be revealed by economic indicators reported on a periodic basis.
Executive Summary
FINRA will conduct its Annual Meeting of firms on Monday, August 19, 2019, at 9:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1
It is important that all eligible firms be represented
As a programmer, a major source of frustration for me regarding many facets of our market relates to the fundamental lack of speed and automation endemic to our financial reporting pipelines. In a system which promotes and rewards algorithmic and high-frequency-trading, any position which would be reported and analyzed as a document and by a human would (and very likely is!) obsolete, potentially
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
