SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
Regarding Regulatory Notice 22-08, I am submitting my comments opposed to this proposed regulation. Limiting access to inverse and leveraged ETFs is unnecessary and only reinforces public opinion that the 'system is rigged' against the retail investor.
I have used these ETFs for short-term positions and have found the disclosures and warnings about these issues to be clear
Hi,
In my opinion, People should be allowed to choose how they can invest their money to achieve their goals. They are best suited to understand their risk appetite. Putting restrictions on where they can invest and where they can't makes two classes of people, Ones who have the privilege and others who don't. Adding special conditions/processes before they can invest will not
I find the very premise that in the largest capital market system in the world, there are regulators that are attempting to not allow inverse or leveraged ETFs. To say this is disingenuous would be taking it easy. Lazy is another word. Brokers, and financial advisors exist for reason as does compliance departments. The reality is the average investor is not going to know how to short or buy
To whom it may concern:
This is a move not only to restrict freedom but more importantly to restrict socio economic mobility. This is nothing but a way to super impose a caste system on the country to make sure the rich stay rich and everyone stays poor. There are many other ways to make sure the products offered are safe for investors than banning investors from using them unless they are
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
Banning retail investors from trading certain instruments is like like throwing an abuse victim in jail to protect them from their abuser. The only reason that this instrument performed so poorly over the last 2 years was the excess liquidity in the markets, and the pump and dump scams often indoctrinated into CNBC viewers. Over the year or so, we’ve witnessed the collapse of Melvin Capital,
This is nothing more than a proposal to make the rich richer & the poor loose more money in a manipulated financial system. The rich create the opportunity and capitalize on it and it's been happening for many years. How about we omit the rich from investing in these investments. We all share the air, highways, waterways, restaurants & paying taxes but only 1-social status
FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017.
