This letter is to oppose each and every one of the extensive restrictions being contemplated in Regulatory Notice 22-08. The proposed rule should be revoked. It is the latest open attack on the common man’s access to the new class of leveraged products, and in so doing, it is illegal.
The original attack came from the SEC in late 2019. That proposed rule, File No. S7-24-15, which limited
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
(a)
/01 Reserved.
/02 Information to be Disclosed
Statements of accounts to customers must clearly and prominently disclose on the front of the statement:
1. the identity of the introducing and
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
I cannot believe in the "greatest country in the world" we have to comment on whether transparency on the very thing that provides a backbone for the world economy is a good idea. ALL information regarding what occurs on our markets should be readily accessible by everyone. Having a select few entities control all of the information is the definition of an oligarchy in a world where
Dear Sirs: I am writing to express my opinion that existing investor access to leveraged ETFs should be maintained. These investments are straightforward (leverage 1X, 2X, 3X, etc.) and every investor must understand that risk is inherent with these investments. As with any other investment. I consider leveraged ETFs to be much less risky than US traded Chinese stocks. The Chinese Variable
To whom it may concern - I am violently opposed to any rule restricting access to investment products for the public. This is just another mechanism to make the rich richer, and steal money from the masses who are trying to build wealth through sophisticated avenues. Your hubris in attempting to control the public's investment options by claiming that it is "in our best interest"
Before investing in stocks, also referred to as equities, take time to gather the information necessary to make an informed investment decision, a process commonly known as due diligence.
While I appreciate attempts to protect investors, I believe that we need less interference in our free markets, not more. We should also acknowledge a regulatory agency grows it's own power by expansion of regulation. However, I believe such interference is definitively not in investors, or greater still, the American taxpayers best long-term interest. An attempt to protect investors
Americans should be able to invest however they want to invest without requiring any government approval. The government cannot keep nannying over the American public, considering how bad they are at nannying themselves. The unintended consequences of this will be brutal, so many entities will not get the investment it needs and many Americans will be split by who's rich enough to invest
