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All capital acquisition brokers are subject to FINRA Rule 3220.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 2070.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 2040.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 2020.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 2010.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 1122.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
Comments: Regarding FINRA Regulatory Notice 22-08.
I was forced into early retirement as a result of Covid. As such, I was forced into living off my IRA earlier than planned. I have been investing and trading for 45 years. I am a small retail trader. I occasionally employ the use of leveraged and inverse ETFs to protect against losses or to enhance returns with due regard for their intended
March 2022 Options Disclosure Document
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article VI, Sections 3 and 4 of the NASD By-Laws to provide for the suspension or cancellation of the registration of an associated person in the
Comments:
Regarding inverse and leveraged ETFs: I feel they both are important tools for retail traders, especially novice traders inexperienced with traditional short-selling and options.
Many novice traders lose in the market because they only know how to play it one direction, I.E. buy low sell high. They either don't understand, are intimidated by, or don't want/have the