Summary
This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
Please do not restrict any of the leveraged funds access as I use these funds in an intelligent manner and follow the signal system method ( jason kelly sig system )of buying and selling these funds every quarter based on past performances . These funds can be volitile but when used in a systematic mathematical system they are very rewarding as they just follow the index or commodity . I have
I understand that in your efforts to protect investors from themselves you are planning to impose yet more suffocating rules and regulations. Please don't. Over regulation is running rampant and is already doing serious damage to our freedoms and productivity. Thanks for thinking of us, but please refrain.
I am one of millions who appreciate having timely and relatively unfettered
I am writing to state my opposition to any new rules (Notice #22-08) which would restrict my ability as an individual investor to use many of the investment products available, including leveraged and inverse investment products. I believe that the job of FINRA should be to assure us that the products are soundly constructed and to insure that the risks associated with their use are adequately
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 10, 1995, the Securities and Exchange Commission (SEC) approved amendments to the NASD's rules to make a failure to honor a written and executed settlement agreement of a dispute arbitrated by any self-regulatory organization or mediated by the NASD® a violation of the Rules of Fair Practice.
This proposed regulation is backwards. Restricting the individual on their financial choices through regulation will only hurt individual investors and benefit wealth or institutional investors. These regulations stink of the wealthy and large institutional investors attempting to protect the market from retail investors. They thought for a long time that they held a monopoly on investment
I am a private investor and am writing this letter to express my concerns with the actions proposed in the FINRA regulatory notice 22-08. The actions described in the notice seem to fall under the premise that the government can chose the publicly traded investments that are best for me or worse, I have to jump through hoops to pass some sort of government test to invest in things such as
In regards to restricting people's ability to invest in leveraged and inverse funds. I will chose to believe that this is a well intentioned regulation to prevent people who may not know what they are doing from losing big in a down turn. But this also disallows poor people and those who may be just starting out, the potential for higher returns on their investments. This would take away
CodeExplanationCDPD*Firm provided barcode on form filing and awaiting receipt of fingerprints for processing.CLERFBI result indicating No Data was identified for fingerprints submitted.CLRXFBI result indicating No Data was identified based on Name Check search.COMPFINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted.CMPXFINRA staff has completed
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved and filed with the Securities and Exchange Commission amendments to Schedule D of the By-Laws that increase the initial and continued inclusion criteria for securities traded in the
