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April 18, 1994
Dear Member:
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-keeping and record retention, respectively, were also approved. The limitations and requirements
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in
I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds since these types of investments are important to my investment strategies. Leveraged and inverse funds help me grow my retirement account faster and to hedge against inflation and a bear market. Leveraged and inverse funds should be available to all the public not just the privileged.
These products have helped me pull in my retirement horizon by MORE THAN A DECADE! In fact, I have further built an entire business based on utilizing LEFT's and Inverse Funds, with the intention of this being a MAIN income stream at some point. I would be financially devastated if there were restrictions imposed - such as a proposed "cooling off" period.
The
I oppose restrictions on my right to invest in public investments. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special processes like passing a test because I can invest. I do NOT need any additional measures imposed on me. Try putting some better restrictions on congress, the house and house speaker'
These products have helped me pull in my retirement horizon by MORE THAN A DECADE! In fact, I have further built an entire business based on utilizing LEFT's and Inverse Funds, with the intention of this being a MAIN income stream at some point. I would be financially devastated if there were restrictions imposed - such as a proposed "cooling off" period. The products are not
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
Summary
Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a number of
<p>Applicability of Rule 3040 to investment advisory activities of an individual who is dually registered as a registered representative and a registered investment advisor.</p>