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
I strongly oppose additional regulations on my freedom to invest in products I find suitable to my financial plans. As products that are offered to to public already have to meet many standards and regulations, adding additional restrictions limit my freedoms of choice. With increasing market volatility, investment choices should be expanded, NOT restricted. Do not approve additional
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.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 19, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
Symbol*
Company
Location
BMEEF
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
To Whom it May Concern. I do not like the current SEC to be changing the rules. In a democracy, people should have a right to invest their money as they see fit. Government is not responsible to protect people from everything. In the world of the financial markets, investors must follow the rule of Caveat Emptor. If government becomes too regulatory in a capitalist economy, then it is no longer a
I should be able to decide what's best for me and my family. I have two college degrees and am very capable of deciding what and what not to invest in. I read various financial newsletters regularly. Some I agree with and some I dont. I am best qualified, after years of research, to invest my own money. I am more concerned about my finances than any advisor.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of September 16, 1988, the following 15 issues joined the NASDAQ National
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 15, 1985, 14 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/ NMS to 2,149. These 14 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The Neutral Corner—Volume 4, 2020
Mission Statement
Year End Message
Court Upholds Panel’s Authority to Order a Virtual Arbitration Hearing (by Brianna Akerley, Case Administrator, FINRA Dispute Resolution Services, Midwest Region)
Virtual Arbitration: Best Practices for COVID Times and Beyond (by Dan Zailskas, Case Administrator, FINRA Dispute Resolution Services, Southeast Region)
FINRA
