Comments: To: FINRA,
I have been an active trader for many years using Leveraged and Inverse (L&I) Funds fairly successfully. I understand their limitations and risks from various literature/warnings and from my own experience. I strongly suggest that investors and brokerage firms do not need additional regulations to effectively use L&I Funds. This would only make these
Why would you be taking our ability to invest in leveraged funds away from us? Ive been investing for over 40 years and regularly use these types of funds as hedges against certain events.
Perhaps turn your efforts against the Wall Street market makers and movers who unfairly manipulate the market with dark pools and paper shorts that never have to be made good on by actually delivering instead
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Internal Audit
Legal & Compliance
Municipal
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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
To whom it may concern, How dare you [REDACTED] sit there and try to make us, the consumer, have even less choices to decide what we do with our money and investment plans? We should be the one that makes the choices not you. Your job is to make whatever company signed up with you follows rules to protect the consumer, but this doesnt protect the consumer from the company, but rather is trying to
Hi, I like to have freedom to invest in leveraged and inverse funds without going through tests and additional constraints. I usually do my research on what I'm investing and so knowledgeable enough to make my own independent decisions considering all risks involved. I usually use these funds to hedge my investments or get some higher returns based on their leverage. I want investment
As someone who works in the film industry, particularly movie advertisement, it's crucial to my career, as well as the many others in my industry that theater companies are free to pursue their clearest path towards profit without external interference from market manipulation. Naked shorting is a direct threat to the entire industry and our jobs. Please consider implementing enforceable
Effective Date: May 1, 1995
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The Securities and Exchange Commission has recently approved revisions to several NASD qualification examinations. These changes become effective May 1, 1995. The revised examinations include the following.
Investment Company Products/Variable Contracts Representative
Dear Regulator(s), Kindly requesting you to reconsider the imposing investment restrictions to individual investors. I am in no position to analyze full picture of why considering such rule and what future impact will be for US investors. However, customers move away from companies that are not prioritizing and addressing customers real need and within parameters these parameters I can imagine
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Finra needs to fine those manipulating the rules to make more profit that the fine costs. Manipulators need to pay greater than the profits of the manipulation. Because where do their profits come from? Stealing from retail and retirement. And finra is complicit. So get ready to lose it all when GameStop leaves and paves the way to get away from the thievery that you are a part of. Wall Street.
