I am writing to voice my opposition to the proposed rules for investing in leveraged and inverse funds. Its a violation of my rights as an investor and imposes unreasonable burden on my ability to trade in a timely manner. I consider myself well informed and do not need additional regulations to guide my investment choices. Leveraged and inverse products are an important part of my investment
It is my preference to invest as I choose. Limiting rights to invest in various investment vehicles made available only to a select few is un-American. Current rules regarding being or not being accredited investors are sufficient to protect investors without new restrictions being added as you are proposing. Please resist the urge to do so; especially if the restrictions you are choosing to add
I should have the ability to make investment decisions based on my educational and financial abilities. I dont need to spend additional time and money demonstrating how and why I want alternative investment vehicles in order to diversify my holdings. Furthermore, enacting this kind of rule creates further precedents for greater restrictions on how, when, and what type of investments are made
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the first quarter of 1988. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed tos NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
88-1
January 4, 1988
Proposed Amendments to
Everything should be reported daily. it is now 2021... There is no reason there is a "T+ anything" for reporting. It's all tabulated via computer and should be available immediately for review... these rules are ancient and do not reflect the level automation we are surrounded by in our everyday lives... I can make an ACH deposit from a bank across the world and have it show up in
I request that ALL shorting must be reported daily, and that ALL dark pool trading must be reported daily. Also all dark pool trading MUST be bought and sold within the dark pool, or all LIT trading is bought and sold in the LIT market. Not trading all the buy orders into the dark pool and sells into the LIT market. Honestly the dark pool should not even exist. Shorting needs to be redone as well
FINRA Requests Comment on a New Academic TRACE Data Product
(a) Authority for Initiating a Trading and Quotation Halt
In circumstances in which it is necessary to protect investors and the public interest, FINRA may direct members, pursuant to the procedures set forth in paragraph (b), to halt trading and quotations in OTC Equity Securities (as such term is defined in Rule 6420) if:
(1) the OTC Equity Security or the security underlying an
Comments: Please do not modify rules related to leveraged ETFs. I personally understand the risks of leveraged ETFs, but at the same time the value. I use leveraged ETFs to enhance my portfolio returns. I also recognize that these products may result in larger than average swings in valuation. However, if you look at a long-term strategy of using leveraged ETFs, you will recognize that these
Overview – The following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA) or Form Continuing Member Application (CMA) regarding new private placement business. This checklist is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review and to aid
