Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities Operations
Rule 6200 Series
Transaction Reporting
TRACE
Executive Summary
On June 14, 2004, the Securities and Exchange Commission (SEC or
Commission) approved
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
Hello:
I am writing to voice my opposition to the proposed rules for investing in leveraged and inverse funds. Its a violation of my rights as an investor and imposes unreasonable burden on my ability to trade in a timely manner. I consider myself well informed and do not need additional regulations to guide my investment choices. Leveraged and inverse products are an important part of my
Hello:
I am writing to voice my opposition to the proposed rules for investing in leveraged and inverse funds. Its a violation of my rights as an investor and imposes unreasonable burden on my ability to trade in a timely manner. I consider myself well informed and do not need additional regulations to guide my investment choices. Leveraged and inverse products are an important part of my
It seems clear that any regulations on investment instruments like these are strictly to deny the general public from access to investment tools, and further the division between the ruling and working class. If FINRA really cared about the people you would be investigating dark pools, selling order flows, and limiting the way that short sellers are allowed to manipulate the market. I dare say
I as an investor of my own money that I earned should be able to choose the investments that are right for me and my family.
There should never be two standards for investments for those who have exorbitant wealth, and those who don't. Public investments should be available to all of the public, not just the privileged.
I have used TTT to make good ROI and now that is threatened because
Hello:
I am writing to voice my opposition to the proposed rules for investing in leveraged and inverse funds. Its a violation of my rights as an investor and imposes unreasonable burden on my ability to trade in a timely manner. I consider myself well informed and do not need additional regulations to guide my investment choices. Leveraged and inverse products are an important part of my
I invest in leveraged funds, and I am completely against this proposal. Specifically, I combine the leveraged funds with the non-leveraged versions of the same targeted index to achieve my desired level of leverage. While my returns obviously lag the index in adverse market conditions, I vastly outperform the market in up periods. I never use the inverse funds, but I always incorporate the
Greetings,
I hope to be able to choose the public investments without restriction, and no need to go through any special process like passing a test before you can invest in public securities including leveraged and inverse funds. I fully understand the risk of those leveraged and inverse funds. Please do not impose additional rules or measure.
Leveraged and inverse funds are important to protect
