The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
Hello! I am relatively new in my career(just graduated with a degree in Computer Science) and finally have an income of my own to invest. I'm what you would call a self taught investor. Investing has always been my true passion. One of the great things about this time we live in is our ability to learn just about anything thanks to the internet. The individual should be able to choose
I recieved an email today about proposed restrictions on inverse and leveraged funds. I want to express how these funds can be a valuable tool to retail investors
With so many changes in trading in the last few years. No fee and fractional shares. It has opened opportunity to people with less money to invest
For years i used a name brand broker buying their mutual funds and holding forever. I
I have utilized leveraged mutual and ETF funds in my IRA portfolio for over 12 years and I strongly believe that I have been successful in enhancing my rate of return during certain market cycles. Although I do have significant retirement assets, I would likely not be considered an accredited investor. I have been investing, primarily through mutual funds, since the early 1970s. My portfolios
Dear Regulatory Personnel(s),
First, thank you for taking the time to read through my concerns about the potential harmful changes that would strike at the core of small to mid-size investors. In our vastly changing world, the small-time investor is continually being squeezed out and further separated from the high wealth class, entities with super computers, and market manipulation. It&#
I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds. I use these funds as a hedge to help diversify and protect my other investments. Im concerned that government intervention in these financial instruments will destroy their ability to provide safety and protection to my investment portfolio.
Investing can be very dangerous. Investing
To Whom it May Concern:
Leveraged investments have been a critical PORTION of my overall portfolio and long term strategy for years. While not the smoothest of rides it is a leveraged investment strategy based on the SP500 and US Treasuries and moves correspondingly with market movements of what I think one would agree are very sound investments. To end this option by a well-intended, but mis-
To whom it may concern,
I request you do NOT add new requirements or restrictions to those funds deemed "complex." The term itself can be vague at best and requiring consumers to jump through arbitrary hoops still doesn't reduce the risk of harm in any way, but it could potentially exclude individuals from benefiting from their added diversification.
As a recent
Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
SR-FINRA-2009-004 - Proposed Rule Change To Amend Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities
