These are products that are used by sophisticated investors who understand the risks and are willing to take them as part of their overall strategy for their reward.
Restricting access or imposing onerous criteria to meet before an investor can trade/invest in them goes against every principle of a free-market economy.
The entire premise of this regulatory notice is false, and data mining is used
Any test of specialized knowledge should be dependent on the specific investments being considered. The degree of investor awareness required to invest in a leveraged S&P 500 2X fund is suitable for many investors who are aware basically of the risks and have been informed of the proportion of net worth they could / should invest.
Brokers should be held legally liable for INITIATING
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Operations
Executive Summary
On July 19, 1995, the Securities and Exchange Commission (SEC) approved new NASD Mediation Rules (Rules) to take effect August 1, 1995. The new Rules provide a structure for the NASD to administer a Mediation Program as an informal and less adversarial alternative to
INFORMATIONAL
Municipal Fund Securities
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Investment CompaniesMunicipal Fund Securities/529 PlansSales Material
Executive Summary
NASD recognizes that the market for municipal fund securities, particularly Section 529 college savings plan securities,
I am a retail investor, and have a small part of my IRA accounts that I manage myself, while placing the bulk of the funds into index funds and the like. However, I believe that I should have the right and access to all the same financial instruments that professional investors do for the portion that I manage myself. From time to time, I use leveraged and inverse funds. This are risky and
I should be able to choose what I invest in. Why is gambling legal but I can't invest in what I deem appropriate? Gambling always has a house advantage and I cannot come out ahead in the long run but with investments I know exactly what I'm getting into and the risks involved. I should be able to store my money with NEXO or Celcius without having regulations shoved onto me. I should be
FINRA, Most people, including myself, who have managed to save any money are fully capable of researching leveraged funds and deciding if investing in them suits our needs and risk levels. We should not have to go through any kind of special process or pass any kind of a test. These funds are mostly used to hedge against unexpected shocks to the market and must be entered into, or exited, in a
To Whom it May Concern, I was troubled to learn that the FINRA is considering passing SEC Proposed Rule #S7-24-15, which would affect individual investors like myself from using several popular public investments, including leveraged and inverse funds. I believe that I, not regulators, should be able to choose the public investments that are right myself and my family. Public investments should
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@filling-regfinra.com”. The domain of “filling-regfinra.com” is not connected to FINRA, and firms should delete all emails originating from this domain. Member firms should be aware that they may receive similar phishing emails from other domain
