(a) Responsibility to Expedite Customer's Request
(1) When a customer whose securities account is carried by a member (the "carrying member") wishes to transfer securities account assets, in whole or in specifically designated part, to another member (the "receiving member") and gives authorized instructions to the receiving member, both members must expedite
I think a free market economy should not need censure of normal accepted commerce activity. Voted against. Here is why:
I think that regulatory overreach ought not occur. It's a free market economy we all participate in, not a private club for special interest groups with an agenda. Anyone with money should be able to transact funds in exchange for securities the market has demonstrated
I don't agree with FINRA to set restriction for us to invest into stocks the public securities such as leveraged and inverse funds freely as what I have been doing to protect my investments. I and my family should be protected the right to invest in all public securities product not just the privileged.
It is extremely important for my investment in my retirement account that I have been
My personal income and livelihood is based on my access to a broad variety of public investments. As an active trader, I have learned to use a mix of these to produce a modest, reliable, steady income regardless of market conditions. Leveraged ETFs (inverse or otherwise) are critical tools that allow me to minimize my exposure and preserve my capital. I prefer these ETFs to more time-sensitive
I strongly disagree with limiting the leveraged and inverse fund. Firstly, USA flaunt it is free market all the time. If regulators decide to do so, then whats the difference between USA and China. How can USA complain about the China is not free market? USA is not free market neither. Since 2020, FED has infinitely printed money in the name of saving economy to pump and manipulate the financial
To whom it may concern,
Regarding the disturbing news that you are going to start regulating and possibly preventing me from purchasing some publicly available leveraged ETF's, I wanted to relay my opposition to such a plan. I have several of these holdings in my retirement and taxable accounts and am fully aware of the risks and significant swings along with the market. Have you seen
I am writing in regards to possible legislation which would limit the use of leveraged and inverse ETF's. I ask that you please do not limit or get rid of these ETF's. These financial instruments have given me the ability to grow my retirement account faster and provide supplemental income for my family. If you want to put an additional disclaimer that investors are required
Individual investors did not blow up the economy in 2008 with the use of leveraged investments they didn't understand, over-leveraged financial institutions (and the credit agencies that bodies like FINRA failed to regulate) did. Are you planning on prohibiting those same financial institutions from using leveraged investment or are you going to once again bend retail over in the guise of
I have been investing some of my savings in the markets responsibly for almost 20 years and I respectfully oppose plans for restrictions on my right to invest in public investments that professional investors have access to. This kind of regulation would achieve the exact opposite of its intent of protecting "small investors" like myself. I should be able to educate myself, follow
(a) Quotation Requirements and Obligations
A member registered as a Registered Reporting ADF Market Maker shall engage in a course of dealings for its own account to assist in the maintenance, insofar as reasonably practicable, of fair and orderly markets in accordance with this Rule.
(1) Two-Sided Quote Obligation.
For each ADF-eligible security for which a member is a Registered Reporting
