NASD Rule 2830 - Investment Company Securities</p>Offices of sub-adviser holding training and education meeting is permissible location under Rule 2830(l).
A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
This is totally unfair and discriminatory against people with lower net worth and totally favors the well off and rich investment firms. Another far reaching restrictive proposal geared to keep the 1 percent in control of the financial system and its ability to generate wealth.
I am totally against this proposal.
I currently enjoy my right to choose my own financial investments. I don't want to go through a special process to invest in securities that I am fully capable of understanding. Please leave this alone and don't change anything or add any new rules for investment in these leveraged funds.
Let us make our own decisions what to do with our money. Investors could do (and doing it) research and make educated investment choices without regulator looking over our shoulder. Financial firms already has number of disclosures for every type of the investments...
I oppose regulations that would prevent me from buying ETFs like BITO. I believe such restrictions are not needed. i can make my own investment decisions and do not want or need the government to create regulations that would prevent me from buying BITO or similar financial instruments
This kind of regulation will only make it more difficult for the average citizen to achieve financial independence and awareness. This is the kind of barrier that allows institutions to maintain their monopoly on advanced trading tactics and instruments. There is already plenty of information and cautionary warnings in place that any reasonable person would understand their risks.
I strongly object to paternalistic obstacles to my investment choices. A much greater threat to investors is the permitted use of non-GAAP earnings by an increasing number of publicly traded companies. Work with other regulators to stop the blatant distortions of financial performance. Let investors chose the vehicles for their investments.
Hello, I do not need the government to protect me. If I fail to understand how a financial product works it is not the fault of the government but the fault of myself as I failed to educate myself. I personally have done very well with leveraged products as I bought in during a market crash and sold a while later.
FINRA Waives Certain Trade Reporting and Compliance Engine (TRACE) Late Trade Reporting Fees in Connection With Hurricane Sandy
