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We congratulate Gary Gensler on his confirmation as Chairman of the Securities and Exchange Commission. Chairman Gensler brings to the Commission an outstanding record of public service, deep expertise in the functioning of our capital markets, and consistent advocacy for the interests of investors. We look forward to working with Chairman Gensler to advance our shared mission of protecting
I regularly enjoy being able to trade in leveraged funds as a limited part of my investment strategies. I am able to afford risks associated with such trading and find the existing information and warnings supplied by Fidelity Investments more than sufficient to keep me aware of such risks. Please do not further restrict my use of such funds.
Board Approves Allocations of 2019 Fines and Proposed Trade-Reporting Fees Related to Treasury Securities
WASHINGTON – FINRA’s Board of Governors met on March 11 for the first time in 2020. During the meeting, held remotely in light of the coronavirus outbreak, the Board discussed a variety of topics, including FINRA’s long-term planning and financial sustainability. As is now customary for the
I have invested in leveraged funds for the past several years. I have lost money and I have made money. Same is true in the broader stock market.
My ability to invest in securities should not be regulated. The focus should be on regulating the providers of these funds to make sure they disclose all the information required for me to make sound decisions.
It is wrong to restrict access to certain investments to only connected, "wealthy" or otherwise selected investors. All market participants are provided investment prospectuses that detail the risks of each fund. It is up to each individual to decide for themselves if the fund aligns with their risk tolerance and objectives, and then research the market to make an informed
INFORMATIONAL
Exchange Act Rules 11Ac1-5 And 11Ac1-6
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Disclosure of Order Execution and Order Routing
Exchange Act Rules 11Ac1-5 and 11Ac1-6
Executive Summary
NASD Regulation Inc. (NASD RegulationSM) is issuing this Notice to Members to inform members about interpretive
Confirmations or comparisons shall include, in addition to an adequate description of the security (which shall include payment options on a unit investment trust series), the price at which the transaction was made and any other information deemed necessary to ensure that the buyer and seller agree as to details of the transaction. Such "other information" should include, if
I do not believe that I need any help selecting or de-selecting my personal investments. Nor does anyone else.
Investment criteria are personal choices and it is up to the individual to be responsible for gaining the information required to vet the products on offer and then determine for themselves whether these vehicles meet their criteria and in their best judgement serve their investment
It's important for every citizen to have the right to purchase whatever stock we want. We need to retain the freedom to do this. Why take away our freedom. I don't need to take a test to be able to make informed decisions on stock purchases and I don't need anyone else making my decisions for me.
To Whom It May Concern:
Please allow me to continue to make informed choices on what investments are best for me and my family. Leveraged and inverse funds are important to my investment strategy. These funds allow me protect my investments and seek enhanced returns. I use them as a limited part of my overall portfolio.