I wholeheartedly disagree with this restriction. It make very little sense to oppose the general public's ability to invest and make money the same way the major bank do, out of an poorly conceived intentions to of "helping" the general public, while been in facts enemies of progress to the advantage of major financial institutions and the detriments of the "
I oppose these proposed regulations because I already have full access to information about the risks of inverse and leveraged funds and further federal gatekeeping is not needed or welcome. Especially in markets that reflect the heavy hand of the Federal Reserve investors ought not be barred from protecting their own financial interests with a full range of investment tools.
As a long-time investor who had diligently saved for his retirement, and who sought advice from professional financial planners, I would like to retain my right to continue using leveraged instruments in my portfolio. They help me achieve the desired allocation. I do not speculate or day trade and only use these instruments only for long-term goals.
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt without material change NASD Rules 3060 (Influencing or Rewarding Employees of Others) and 3090 (Transactions Involving Association and American Stock Exchange Employees).
H & L EQUITIES, LLC1175 PEACHTREE ST., NE, SUITE 2200, ATLANTA, GA 30361-6206H. C. DENISON CO.618 NORTH 7TH STREET, SHEBOYGAN, WI 53081Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028H.C.WAINWRIGHT & CO., LLC430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022HAITONG INTERNATIONAL SECURITIES (USA) INC.1460 BROADWAY, SUITE 11017, NEW YORK, NY 10036HALEY SECURITIES, INC.8712 WEST
Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
I'm retired State Service living on Social Security with little long term security! I've been a investor in Celsius since 2019 and as of April 15th informed that I can no longer receive interest benefits when investing in the future because I'm not financially influent! But I can go to Vegas at
Anytime! Eliminate this barrier!
Dear Sir or Madam,
I am sending this email in support of retaining the right and ability to invest in leveraged and inverse funds.
No one should enforce limitations to our trading capabilities in such ETFs. I should not be submitted to any testing or financial stratification before I am able to proceed with such trades.
Please update me regarding the progress of this issue.
I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged.
Leveraged and inverse funds are important to my investment strategy. They actually allow for a more conservative overall portfolio that matches full market performance.
Please do not limit the people's access to these financial
