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.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
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As of June 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ABAG.GA
Safety Componets Intl Inc
10.125
07/15/07
ALGX.GA
Allegiance Telecom Inc
11.750
02/15/08
AMH.GA
Amerus Life Hldgs Inc
6.
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
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
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 5, 1986, 52 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,505. These 52 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SummaryFINRA is adopting new Rule 6151 (Disclosure of Order Routing Information for NMS Securities) to require members to submit to FINRA for centralized publication the order routing reports required under the Securities and Exchange Commission’s (SEC) Rule 606(a) (Rule 606(a) Reports). These amendments will take effect on June 30, 2024. Therefore, members will be required to submit their Q2
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the time of
