Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President –
This is a good plan, the financial service industry has been playing with a loaded deck for years now. Its time for the regulatory bodies of the government to rein in the reckless and border line illegal behavior.
To FINRA or To Whom It May Concern:
I have been having freedom on my own investments for a decade, and want to maintain my current freedom to invest in public securities of my choosing. As an American citizen, I/anyone should be able to choose the public investments that are right for us! I am grateful that the freedom of the exchange-traded funds that empower me and my family to pursue our
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 Ive 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
To whom it may concern,
Good evening,
It has been brought to my attention that there have been discussions of limitations and extreme regulations when investing in leveraged funds.
I believe strongly that this limitation goes against the nature of the free market which has been established in this country for many years. Any market participant has come to an understanding that there exists
We want a greener America right? The best way to get there may be to make it easier for people to buy NRGD.
This is the Big Oil 3x Bear ETF. The Bull is NRGU.
NRGD is about $100/sh, but if the SEC were to allow fractional share purchases for all Americans of any income level, they could buy 1/100th of a share for $1.
Why is this important? Oil is going to peak and then it's going to
Dear FINRA regulators,
I think you have a very difficult task with balancing the need for fairness in securities markets while making sure that bad actors do not prey on unsuspecting individual investors.
I think it is fair to say that leveraged products should not be an investors first choice as a core portfolio product, but I've noticed that many seasoned investors, such as Bill Miller
We not regulators should be able to choose the public
investments that are right for us and our family.
Public investments should be available to all of the public,
not just the privileged.
Not only do we have the right to share our views,
but the regulators are required to take our comments into
consideration in deciding whether to move forward.
LIST OF INVESTMENTS THAT MAY BE AT
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 23, 1986
The National Association of Securities Dealers, Inc. (NASD), requests comments on a proposed amendment to Schedule D of the NASD By-Laws that would authorize the NASD to halt over-the-eounter trading in a NASDAQ security pending the dissemination of material news by the issuer. Schedule D
Your proposed new regulations are totally unnecessary and only puts a burden on both investors and investment services. Notice of the risks are amply provided at this time and further action is useless and a waste of time.
