Comments: As a Financial advisor and investor of 32+ years, I strongly believe having the ability to purchase 1x inverse ETF's is a valuable short term hedging tool. I am not a fan of the leveraged ETF's as they can create a lot of damage if used improperly. Also the tracking error over time is very problematic. With that said, knowledgeable investors should have access to
Hello, I would encourage all involved to restrict regulation on these types of investments by stopping access. Use other tools. I've invested for 25yrs on my own and made money. I have also lost. I learned the most by losing and this experience motivates me to do research. Impose educational notices and let AI bots do the work. I will be able to secure financial options for
I oppose adding restrictions to trading financial products deemed "complex" because people are ultimately responsible for managing their own money. Regulating these products would make it harder for people to maximize their returns, hedge, and speculate. Speculation is much maligned, but ultimately, it keeps markets efficient and people should have ready access to high-risk/high
I clicked over to a website that does not support the proposed rule, but I *DO* agree with the limitations being proposed. I was Series 7 and Series 63 licensed, and have seen many people maneuvered into investments that neither they nor their financial advisors understood. The results can be devastating. I think it might be better to do a two-pronged approach with limits on the types of
If I have the money to buy shares then I deserve the right to buy it. Besides its the stock market has people buying and selling all the time without any discrimination. So what are you going to say, "Oh the stock market dose not allow people from the LGBTQ community, or of certain race / nationality of people, to do stocks and/or bonds because we wont to keep only the right kind of people
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
I am Mary L. Schapiro, President of NASD Regulation, Inc. NASD Regulation, Inc. and our parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify on the securities day-trading industry
