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I beleive i should be able to choose the publiv investments that are right for me and my family. public investments should remain available to all of the public, not just the privileged. I shouldnt have to go through any special process like passing a test before being able to invest in public securities, like leveraged and inverse funds. i understand the funds and their RISKS.This is important
I oppose restrictions to my right to invest. I, not regulators, should be able to choose the public investment(s) that are right for me. I should not have to go through any special process, like passing a test, before I can invest in public securities. I am 100% capable of understanding leveraged and inverse funds, as well as the risks that come with investing in them. I do not need a regulator
Hello, I run a quarterly rebalancing plan for my retirement that relies in part on leveraged ETFs. I have been using this system for several years now, but following its evolution for over a decade. The system is run by investor/author Jason Kelly and it's called the 3% Signal: https://jasonkelly.com/books/3sig/
Removing my access to leveraged ETFs because I don't have a $1
WASHINGTON—FINRA announced today that it has fined Credit Suisse Securities $9 million for failing to comply with securities laws and rules designed to protect investors, including the Securities and Exchange Commission’s Customer Protection Rule and FINRA rules requiring firms to disclose potential conflicts of interest when issuing research reports. As part of the settlement, FINRA also
GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of Municipal
As prepared for delivery
Good morning, and thank you, Professor [Reena] Aggarwal for that kind introduction and the invitation to join you today. Under your leadership, Georgetown’s Center for Financial Markets and Policy has come to be an important forum for discussing current policy and regulatory issues facing the global financial markets. We all owe you and your colleagues at the Center a
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
On Monday, December 2, 2019, FINRA will expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an alternative trading system (ATS) on a one-month delayed basis; and
aggregate non-ATS volume
As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
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. As a former Certified Financial Planner for nearly 30 years I know about market and investment risks and understand the complexity of trading leveraged investments.
I shouldn't have to go through any