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NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to schedule
I am disagreeing with the concern and motion put forward to regulate ETF products with leverage and inverse properties. As an investor, I am capable of making an informed decision in regards to the risk I am willing to take on with my investments and therefore do not agree with the proposal to restrict these financial products to those with FINRA authorization or special knowledge. If there is an
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 5, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send out
Dear Finra,
I am absolutely opposed to regulation on leveraged ETFs. I have been using them for years and they are part of my long term strategy for growth in my Roth IRA. I know the risk I am taking and I have a long time horizon for these investments. I have studied the markets for 20 years and learned about economics and even technical analysis of the price charts on my own through all
I am opposed to new rules regarding leveraged and inverse ETFs. I am a seasoned investor and conduct my own research. You should not be babysitting myself or my portfolio. There is plenty of information available already for the public to read and decide for themselves. You are stepping over the line in making this judgement that individuals need monitoring.
The cost of any bureaucracy to
On This Page
Form U4 Explanation of Terms
Form U5 Explanation of Terms
Forms BD & BDW Explanation of Terms
Form BR Explanation of Terms
Form U4 Explanation of Terms
The following definitions apply to terms that are italicized in Form U4:
Affiliated
Means under common ownership or control.
Affiliated Firm
Means a broker-dealer under common ownership or control with the filing firm
I am capable of understanding leveraged funds and their risks. I do not need these measures imposed on me. However, some better disclosure from the providers could be helpful to the public. Disclosures could include:
1) Predetermined plans for reverse and forward splits: "We will reverse split this fund if the value falls under $x.yz for a period of _________ days."
2) Better
As someone who regularly and frequently invests in publicly traded securities it is my view that the federal government and its agencies do not have the right to tell individual investors what we can and cannot invest our money in. How or when I invest my assets is my decision and should not be limited by anyone. Federal regulators cannot know or understand the individual investors risk tolerance
Investors should be free to select which investments they feel are reflective of their risk level. It is asinine that the talk of banning leveraged ETFs is circulating when 18 year olds can place 100% of their money into a meme stock and then still access margin to double down on their stupidity, which is objectively more risky than a properly balanced, risk adjusted, leveled ETF portfolio. We
I and other members of the investing public are perfectly capable of reading and deciding what to read regarding our investment choices. There is no need for regulators to discriminate against and take opportunities away from lower net worth individuals in an effort to ensure that we read information we are fully capable of accessing.
Leveraged and inverse funds are critical to my personal