Sec. 5. The Corporation may delegate its authority under this Article in a manner not inconsistent with the Delegation Plan.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
Please do not restrict my access to invest in leveraged and inverse funds. They help me and my family as part on my investment portfolio as i now am entering my retirement. I follow a disciplined investment plan that uses these funds. Thank you so much reading my comment and have a great day !
To whom it may concern,
I would like to continue to be able to exercise my rights as an investor with these financial instruments being available for purchase. I plan on purchasing more in the near future and oppose any obstacles that would prevent myself from doing so. I recommend that you allow me to purchase the securities as long as I live.
Comments:Please do not limit access to leveraged and inverse ETFs. These are great investment products which complement the portfolio. I think all that is necessary is a n advisory notice before trade execution for investors who lack in-depth understanding of the risks associated with seeking leveraged investment results, and who plan to actively monitor and manage their positions.
I have been engaged in the market for over 40 years. I utilize leveraged and inverse funds in a deliberative and judicious manner to balance my portfolio. I find it insulting that the proposed over-reaching regulations posted years after I have made my careful financial plans would severely penalize me in my retirement years.
Honestly this is unbelievable, I could write paragraphs for the person reading this but Ill make it simple. Demonstrate a high net worth along with the other regulations being set in to motion is one of if not the most absurd thing Ive heard. Just come out and say the government is planning to keep the rich rich, and the poor as poor as possible.
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
I have been doing my own research and buying/selling investments for over 35 years and do not need or want the government involved in what I do. I am not impression in much of what the governments does now so would not trust them to handle my affairs and plan to continue to do my own investing in the future.
