I believe that I, as an American, can invest my money in any vehicle I deem beneficial. Leveraged and inverse investment options are one of the many ways I choose to protect my capital. This is a direct attack on the individual investor!
Why is the government so interested in what its citizen do with their own hard-earned capital? It is a disgrace we civilians must be held at the will of the government's decisions. Allow us to trade at our own will!
Thank you
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Executive Summary
The Government Securities Act Amendments of 1993 (GSAA) eliminated the statutory limitations on NASD® authority to apply sales-practice rules to transactions in exempted securities, including government securities, other than municipals. On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments implementing the expanded sales-practice authority
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Executive Summary
NASD Regulation, Inc. (
Where there is uncertainty, there are always bets—the question is who wins. From horse racing to the price of gold, people have always speculated on uncertainty. Insurance-linked securities (ILS) are financial instruments that allow investors to speculate on a variety of events, including catastrophes such as hurricanes, earthquakes and pandemics.
I am a personal investor with decades of saving, trading and investing and would like LESS government regulation or limitations. I do not want, or need FINRA or SEC or other agency to limit my access to investment vehicles such as leveraged exchange traded funds. My investments into ETFs, stocks, bonds, futures, real-estate and other asset classes are my personal choice and decision. I am against
I want to be able to use leveraged an inverse ETFs as a tool to hedge portfolios in volatile markets or invest less capital with leveraged ETFs to gain exposure to a theme. I want to maintain my right to choose from these investments
Registered representatives who are not qualified to engage in investment banking activities may, subject to specified conditions, receive transaction-based compensation for referring existing brokerage clients that express an interest in investment banking transactions.
Dear Mr. Markunas:
This is in response to your correspondence dated June 15, 2020, in which you request interpretive guidance
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NASD is issuing this Notice to inform
