Please don't take away my ability to invest in investments that allow me to take control of my personal financial future. Leveraged and inverse ETFs allow me to adapt to changing market conditions and allow me to hedge against market conditions that are often volatile. I have been investing since I was 18 years old and I don't want my options to invest limited or reduced.
I am responsible for my financial decisions and regulators are only responsible for creating a level playing field. A special process is not necessary and onerous for anyone to invest in public securities and it is not the regulators responsibility or charter to protect citizens from making decisions that are the individuals to make. Hedging is critical to my investment strategy especially with
To Whom It May Concern: The world of investments is like any other marketplace phenomena. Prices go up and down. It is a profit and loss system. I should be allowed to invest in any financial product I choose. If an investment is clearly not what it says it is, that is fraud. Fraudulent investments are not legal. Do not impose additional restrictions on the investing public. It does not promote
I want to retain my ability to invest in leveraged and inverse funds without any control or denial from regulators. I have provided for me and my family for over fifty years without any regulator making decisions for me and my investments. I still have the ability to handle my financial affairs and do not need the government regulators to restrict me making leveraged and inverse investments.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022.
I should have the right to choose my investments as I wish. There is no reason to restrict me from investing in Cryptocurrency funds. I understand the risks involved just like I understand the risks in trading options, which I also do daily. Cryptocurrency funds are an important part of my balanced portfolio designed to achieve my financial objectives. I object to having restrictions placed on my
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
REQUEST FOR COMMENT
Certification by Chief Executive Officer and Chief Compliance Officer
Comment Period Expires on: July 11, 2003
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KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Compliance
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Executive Summary
NASD is proposing to amend Rule 3010 and adopt
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 5, 1986, 52 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,505. These 52 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
