Hello.
I don't want my rights removed. Its bad enough that the individual investors have less rights and access to funds than the industry insiders and professionals. I don't want any less access to any funds you are considering restricting. I invest in select funds that you are considering limiting. I use them to hedge my investments in other stocks and funds. They are a
From my understanding, public investments should be available to all of the public, not just the privileged. This is my right to choose and invest all types of public investments as I want to, not being forced to invest on the selected section of the market.
I shouldnt have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse
I understand there are plans underway to limit the availability of certain funds deemed too complex for the average investor. As an average investor I say, "how dare you!" To decide what is right for me and restrict MY access to products like leveraged an inverse funds while allowing wealthy individuals to use these same tactics is just wrong. The playing field is already uneven. You
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, March 18, 1996. The information relating to matters contained in this section is current as of March 5, 1996. Information received subsequent to March 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Domestic Capital, Inc. (Buffalo, New York), Michael A. Wier (Registered
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
The idea of a "fair" market is completely a figment of peoples imagination at this point. The corruption and "loop holes" that exist to allow the Rich to continue to get rich off the backs of the working average citizen is sickening. The stock market and corruption is rampant amongst banks, hedge funds, market makers, and politicians and government departments. The "
The proposed regulatory changes are embarrassing - to FINRA and the SEC, and an insult to investors. I should be able to make investments in the targeted public securities that I believe are in my (and my family's) best interests without going through a special process. Further, given all the extreme movements in individual stocks recently (Gamestop exemplifies), why limit the initiative to
I am totally opposed to the Proposed Rule #S7-24-15 for the following reasons: 1. I am a small investor that has invested in leverage funds for greater than 20 years and am quite capable of understanding the risks of using leverage funds. In fact, I find it offensive that a regulator would question my knowledge of the market by using some gimmick like passing a special test related to my
The last several years have seen a growth in funds that help individual investors seek targeted exposure to investments and strategies previously only accessible to high net worth individuals. Use of funds including leveraged funds, inverse funds, commodities funds, real-estate funds including global real estate, high-yield bonds, currency strategies, emerging markets stock, bond and currency
