Displaying 1981 - 1990 of 9026 Results
As owner of a small broker dealer since 1982 I ask you, please, to read the current regulations and conclude they are enough!! Reps 'must know their client". Prospectus must be provided before purchase. Reps must participate in continuing education. Supervisors already review all trades. What ever happened to 'let the buyer beware" as a way to teach investors lessons. How do
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds since these types of investments are important to my investment strategies. Leveraged and inverse funds help me grow my retirement account faster and to hedge against inflation and a bear market. Leveraged and inverse funds should be available to all the public not just the privileged.
High net worth requirements are a horrible restriction to place on leveraged securities. A regulator imposed test , and attesting to reading certain materials is fine because anyone has the capabilities to do this, many individuals have been investing their entire lives and have a plethora of knowledge and would not be able to meet this high net worth requirement. Leverage and inverse securities
*I should be able to choose the public investments that are right for me and my family.
*I shouldn't have to go through any special process like passing a test before I invest in leveraged funds.
*I am capable of understanding leveraged funds and their risks. The risks in today's market are higher than in past years; however, I willing to take those risks as the leveraged funds
This regulation would be used by financial advisors to essentially create a tax on individual investors who want to get exposure to certain financial products directly on their own. Perhaps there should be regulations that explicitly lay out risks of certain investments, but to force individuals to take a test or be licensed to directly buy certain investment products is entirely un American.
It makes NO sense to require testing and other regulatory restrictions on the use of inverse and related funds. I utilize them in hedging activities when risk within the market becomes excessive without the need to sell securities at short-term taxable gain. I have a brain and am perfectly capable of understanding and determining when to use such securities. I do NOT need PERMISSION from ANY
Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each member's anti-money laundering program must be approved, in writing, by a
This proposed rule restricting my right to invest as I please seems a clear violation of my right to control and administer my own resources. I try to diversify my investments, for my holdings as a retiree are quite meager and I cannot afford to take big risks. At present I own only one fund involved partially in cryptocurrencies, and regard it as just a normal part of my portfolio. Why would
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Legal & ComplianceOperationsSystems Trading
As of October 27, 1994, the following 45 issues joined the Nasdaq National Market, bringing the total number of issues to 3,732:
Symbol
Company
Entry Date
SOES Execution Level
MTLG
Metrologic Instruments, Inc.
9/29/94
500
ALRM
Protection One, Inc.
9/29/94
1000
GCHI
Giant Cement Holding, Inc.
9/30/94
200
SUGN