INFORMATIONAL
Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Rule 2260
IM-2260
Debt Securities
Operations
Forwarding of Communications
Executive Summary
On April 11, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 22601 that require a broker/dealer to make reasonable
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
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
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
NASD Rule 2420 - Dealing with Non-Members
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Discussion
In Notice to Members 94-09, published in February 1994, the NASD announced Securities and Exchange Commission (SEC) approval of a new Section 46 of Article HI of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
To whom it may concern, In regards to your proposed rule, I am fully capable of understanding leveraged and inverse funds and their performance characteristics, and I dont want a third party evaluating my capability to do so and potentially preventing me from buying them. I want to state that leveraged and inverse funds are important to me, as they allow me to seek enhanced returns and help me
I appose rule #S7-24-15. I have been using leveraged and inverse ETFs as part of my investment strategy for years. They are vital as a hedge against long positions during market downturns, or to enhance returns when the markets are moving higher. They are a critical tool, and are used sparingly. There is no reason why only High Net Worth individuals should have access to these instruments. There
