Displaying 3501 - 3510 of 28153 Results
Minor Rule Violation Plan
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD IM-9216
NASD Rule 9216
NYSE Rule 476A
SEC Rule 19d-1(c)(2)
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Key Topic(s)Minor Rule Violation Plan (MRVP)
Executive Summary
Effective September 24, 2007, the list of violations eligible for
Public investments should be available for all.
Quit trying to protect me from myself! UPRO has made me a millionaire and has taken me to $300,000. Im an attorney and a CPA. I totally understand the risks and rewards. Let me make my own investment decisions!
I'm an ordinary investor in my 50s and have been investing in leveraged and inverse ETFs for about a decade. As an adult and investor I should be able to invest in leveraged and inverse products without requiring me to jump thru hoops. Leveraged products should be treated like any other high risk stocks or instrument, i.e., raise the margin requirement but do not require any undue
Leveraged and inverse ETF provide common individuals to invest using smaller amount of money. Regulating these is like telling the common people that they are not eligible to buy these. Every one should be independent to buy these else. Please dont take these rights away from investors
Please do not restrict the ability of retail customers to invest in Complex Products. In a market downturn, inverse ETFs/ETPs are some of the easiest ways to hedge against falling market. Placing what I view to be artificial restrictions on these types of products will hinder retail customers ability to simply survive a large-scale market correction. I am invested in a very small quantity of
No no no
Leave it as it is~
Unconstitutional for the government to determine how I use the money on a non-illegal activity.
Public investments should be available to all of the public not just those who are privileged.