All capital acquisition brokers are subject to NASD Rule 1090.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
In September 2022 I will have been retired 10 years. Leveraged ETFs have made it possible for me to continue my preretirement lifestyle while being able to be generous to my children, their spouses, grandchildren, and great-grandchildren. I have also increased my retirement savings while doing this. It would be unfair to change the rules and exclude me because I am not worth enough. Big girls and
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MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendment would revise, simplify, and add a
This proposal will blatantly continue to negatively impact small member firms that do not have neither the current infrastructure, capital or staffing levels to accommodate this significant of a change to their reporting structure. The continued demise in the number of FINRA-registered small firms, which benefits the largest firms with additional greater market share, provides the cover for the
Any proposal to limit an investors ability to purchase inverse funds would not be well received and obviously ill-timed given market conditions. Every investment contains risk and a regulatory authority should not posses the authority to restrict an investors ability to use products such as these that can actually mitigate risk in one's overall portfolio. If such rules are implemented,
For far too long the stock market has been tilted/manipulated in favor of Wall Street. The issue is naked short selling. Despite being made illegal after the 2008–2009 financial crisis, naked shorting continues to happen because of loopholes in rules and discrepancies between paper and electronic trading systems. More often than you think great companies such as Clover Health. Clover Health was
FINRA has no business involving another governmental agency in the financial markets. Why dont you spend time stopping the big banks from spoofing silver and gold prices. Now that is a real problem you could solve. I minored in Economics in college and understand the risks of leverage and inverse funds. Im currently using these types of positions for downside protection. Its an integral part of
(a) Consolidation Initiated by Chief Hearing Officer
The Chief Hearing Officer may order the consolidation of two or more disciplinary proceedings, upon his or her own motion, under circumstances where such consolidation would further the efficiency of the disciplinary process, and where the subject complaints involve common questions of law or fact, or one or more of the same Respondents. In
As an investor, I am opposed to the additional regulations proposed in Regulatory Notice 22-08 restricting access to certain complex products.
There are sufficient requirements to provide information on the behavior of these investments and more than enough regulation on broker dealers to supervise the purchase and trading of these instruments.
We cannot regulate our way to more intelligent
Dear Sir or Madam,
I am writing to you because I received a notice that I will be restricted to buy leveraged fund. I do not quite understand this decision because I am clear about what I am doing and understand the risk behind it.
Public investment should be available for everyone as long as they follow the rules and do not violate any regulations. I believe I have the rights to buy any
