Displaying 2631 - 2640 of 9026 Results
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 21, 1987, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,850. These 12 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
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.I shouldn't have to go through any special process like passing a test before I can invest in public securities like leveraged and inverse funds.
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
I should be able to choose the investments that I would like to invest in without going through special processes like a test. I am capable of understanding how funds work that are leveraged or inverse funds. These types of funds provide the flexibility to add diversity to my investment strategy. Regulators should not be limiting investment options.
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
ProShares is same as all other investment such as equities, options, futures, and Forex. They has it's own risk and reward. Restrictions on one asset is not fair. Investors should have the right and freedom to pick their investment; and should not have to go through any special process of test. I am strongly object.
I am competent to decide whether leveraged or inverted instruments are appropriate investments for my portfolio, and do not want to be required to pass a test or observe a cooling off period. The current restrictions and guidelines in place for these investment vehicles are adequate, and more limitations to individual Liberty would be serious over reach by FINRA.
I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding leveraged and inverse funds and their risks. Tell regulators you do not need these measures imposed on you.
I believe that individual investors should not be restricted from the purchase or sale of inverse or leveraged funds. Individual investors should be able to choose the publicly listed securities that are right for their risk and return objectives without going through extra steps such as income/asset verification, knowledge tests, or any other special process.
I don't think regulators should make the determination what investments are appropriate for my needs. There should not be obstacles to investing in inverse or leveraged funds. I am comfortable with taking on that risk. Adding a regulator-approved test in order to be able to invest in these funds is an unnecessary intrusion on my right to invest as I see fit.