Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
REQUEST FOR COMMENT
Disclosure of Mutual Fund Expense Ratios in Performance Advertising
Comment Period Expires: January 23, 2004
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Senior Management
Advertising
Mutual Fund Expenses
Investment Companies
NASD Rules
I am capable of understanding leveraged and inverse funds and their risks. They help me protect (hedge) my investments or seek enhanced returns for my family and myself. What is more information, according to the Fourteenth Amendment to the U.S. Constitution, I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the
I oppose any restrictions to my right to invest in specialized leveraged and inverse funds. These types of investment products should be available to any individual's investment strategy and not only to the privileged that can meet a set of arbitrary conditions set by regulators. I felt fully informed and understood all risk involved before I started to use these types of leveraged and
I'm a retail trader. I'm glad strongly in favor of enhanced short and FTD reporting requirements. Knowing the true short interest and quantity of FTDs on a security are important metrics for me when I'm evaluating an investment. There are currently too many ways for large players in the system to obfuscate this information. Please do everything in your power to ensure that true
Leveraged and inverse funds allow me to hedge my portfolio and generate enhanced returns using derivatives. You don't need to be a rocket scientist to understand the concept of these funds and everyone should have access to them. Retail investors are capable of doing their own research and coming to a conclusion on whether or not these fit their risk tolerance and strategy without having
No politician should vote to restrict our choices of personal investment especially given the track record of politicians using material non-public information with regularity for years. Politicians did not have the ethical standards to make it illegal all those years, I see no reason why they should try to restrict inverse products in front of a potential recession and stock market drop. I&#
These products need to stay available for an overall portfolio and everyone should have access to these funds. They already disclose enough information for an investor to make a sound decision on the product and be aware of all the good and bad that comes with that product. There is no need to add additional regulations to these products especially requiring the investor to take a test. There are
In no way should regulation restrict my rights to invest as I see fit. Restrictions should only ever be placed upon those in public office who gain insider information. As an engineer, I am more than capable of making my own financial decisions regarding investing in public securities like leveraged and inverse funds. I do not need the government to tell me how to think, vote, invest, or
