To Whom it May Concern:
I am an active retail investor with a small portion of portfolio in leveraged and inverse funds.
During the recent market downturn, hedging against losses by investing in leveraged and inverse funds has helped me to beat the market over the past three months. Without access to these types of funds, my ability to respond to market forces would be substantially hampered.
I
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety
Last Voting Date: September 27, 1993
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Executive Summary
The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc., has adopted amendments to the Venture Capital Restrictions of the Corporate Financing Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice, which apply to venture capital investments by NASD members and certain of their associated and affiliated control persons prior
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of September 16, 1988, the following 15 issues joined the NASDAQ National
I should have every right to invest my assets in any way that I chose, not by anyone or any organization.
Its important that all strata of society have access to investments and assets! Humbly reconsider these potential enactments.
Please do not restrict this valuable asset class. They play a crucial role opening markets and strategies to the masses.
I want to continue to have the right to invest in leveraged and inverse funds as a risk protection of my overall assets.
Leveraged assets are very powerful and its not in best interest of many people to add such regulations to buy them.
