SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
Suggested Routing
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Thursday, July 4, 1996, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
SEC Approves New Interpretive Material That Authorizes FINRA to Establish a Temporary Program to Allow Firms to Voluntarily Remit Accumulated Funds; Reminder Concerning Proper Disclosure of the Section 3 Fee
I am an experienced investor 78 years of age. The proposed new regulations on us citizens to invest in leveraged and inverse funds is completely against our foundations as a Republic. We, the American people, have a God given right to invest as WE see fit - not the government. These strategies are essential parts of our investment tools. The government has no right to hinder our financial freedom
I have been investing for myself and my family for years and use leveraged and inverse funds as part of an overall portfolio strategy. These types of funds should be available to the general public without any additional onerous rules to use them. Hedging strategies are important to use in certain circumstances and they should not only be available to the privileged few. Regulators should be
I completely disagree with the proposed regulations to impose restriction or any limitations on my ability to invest in leveraged or inverse leveraged funds. The risks associated with these investments, like any other investment vehicle, are clearly detailed in the Prospectus documents which are readily available to the public. I oppose Government regulators imposing what I view as arbitrary and
I want to write in and let whoever is considering this rule change to know that as a retail investor I am fully aware of the risks that I take by investing in securities.
I believe it would out an undue burden on the citizens of the US if there were more obstacles put in their way in order for them to have access to securities. Participating in the growth of the some of the best companies that
To whom it may concern - I am violently opposed to any rule restricting access to investment products for the public. This is just another mechanism to make the rich richer, and steal money from the masses who are trying to build wealth through sophisticated avenues. Your hubris in attempting to control the public's investment options by claiming that it is "in our best interest"
I should be allowed to invest freely into projects that I see financially beneficial and not be locked out of the real gains because of some ridiculous rule that states I'm not eligible because I don't have enough money. That reasoning was forced into law to keep people from bettering their selves and goes against everything America was supposedly founded on. I will echo this
