Dear FINRA,
I strongly oppose any restrictions to my right to invest, including inverse and leveraged funds.
I'm able to choose public investments that are right for my needs, we need less regulation on choices. America is free and EVERYONE has a right to choose not just privileged few believing their expertise is far superior than the common investor. I am able to understand and
Me not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am well-educated and fully capable of understanding
Hey [REDACTED], I know your plan, regulate this so the market prices crash, let institutions but and then sell for sky high prices. This way they can book profits and you [REDACTED] can get taxes by 4/15 next year to pay for all the expenses incurred [REDACTED] in the WH. The American public is much smarter than what they used to be. [REDACTED] first go and implement this [REDACTED] in the WH [
I am writing to express my opposition to regulations that would hinder my investment in public securities, such as leveraged and inverse funds. Leveraged and inverse funds have been important to my investment strategy in the past as both a protective hedge and for periodically seeking enhanced returns. I have educated myself on the risks involved with said securities. I know how to use them.
Dear Sirs;
It has come to my attention you plan on taking away our right to crypto Bitcoin and it's affiliants.Im sorry but that's wrong to do.were suppose to be a free country.but if you do that to us; then it's communism.please leave your hands off these.arent you rich enough as it is ? Then please let us have something for retirement.social security isn't
Do not limit my ability to purchase BITO or XBTF or ETCG or GBTC, etc please. I want to be able to buy any digital asset or crypto asset that are on the market. You don't need to limit my selection. Why I don't need your limitations is because: It Hurts Investors: It denies me the freedom to choose investments that could help me achieve long-term financial security. Is Arbitrary and
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Legal & ComplianceOperationsSystemsTrading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved several proposed rule changes by the NASD concerning trading in exchange-listed securities by NASD Consolidated Quotation System (CQS) market makers.1 Specifically, the following rules will be effective on October 31, 1994:
All CQS
March 24, 2005
NASD has recently made several changes to the OATS Compliance Sweeps that are conducted by the Market Regulation Department. The following list highlights some of the more significant sweeps conducted by the Market Regulation OATS Team and the changes that have been implemented recently for each type of review. Members should note that the following is not a
New Customer Support Hotline Number
Those member firms that are enjoying the benefits of the National Association of Securities Dealers, Inc. (NASD® Member Compliance Support System, Training Analysis and Planning Tool, Version 2.0 (MCSS), will soon benefit from enhanced customer service.
Please note that, as of November 3, 1997, technical questions regarding the MCSS application will be
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
