5/5/2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice 25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
SR-FINRA-2009-017 - Proposed Rule Change to Adopt FINRA Rule 3250 (Designation of Accounts) in the Consolidated FINRA Rulebook
REQUEST FOR COMMENT
Short Interest Reporting
Comment Period Expires November 29, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members and other interested parties on proposed changes to
Rule 3360, Short Interest Reporting.
Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory
SilverLake Wealth Management, LLC33 Blair Park Rd STE 100 | Williston, VT 05495(802) 857-50 May 13, 2025May 13, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1700 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an
Date: May 1, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in
I use leveraged funds in a methodical manner as part of my investing strategy. I fully understand the risks associated with leveraged investments and DO NOT believe the government has any right to regulate investment products. It is my personal choice to incorporate leveraged funds as part of my wealth building strategy and I desire to continue to use them. If you must regulate investments,
I invest in leveraged funds, and I am completely against this proposal. Specifically, I combine the leveraged funds with the non-leveraged versions of the same targeted index to achieve my desired level of leverage. While my returns obviously lag the index in adverse market conditions, I vastly outperform the market in up periods. I never use the inverse funds, but I always incorporate the
Date: April 24, 2025Ms. Jennifer Piorko MitchellOffice of the Corporate Secretary FINRA 1735 K Street Washington, DC 20006Re: Request for Comment on Regulatory Notice 25-05 Dear Ms. Mitchell, I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment the newly proposed Rule 3290 as
