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TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
I have been invested for a number of years in a number of products that are being considered for additional regulation, including CEFs, target date funds, high yield bond funds, leveraged/inverse funds, and crypto-backed funds. I researched these funds before investment, and expect anyone else would as well.
These funds have been some of the most productive in my portfolio, and I think anyone
Hello, I wanted to make my voice heard re this issue.
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. I am capable of
As a shareholder of leveraged and inverse funds, I take my own risk without any pressure to buy and own this type of fund. The regulation if established will restrict my choice or freedom to create my own investment strategy. I accept the high risk of this leverage ETF for a loss or a high return. It is an important portion of my investment portfolio. If the regulation is introduced, the risk
Dear Financial Representative, I do NOT want trading on the TQQQs and other leveraged funds to be regulated. I believe investors should have the right to trade public investments without restrictions. I am an experienced and frequent trader who uses this avenue exclusively to build weath within a portion of my overall portfolio. The volatility inherent in leveraged funds is the key to success in
It is very important that I as an investor have the right to freely access the entirety of the public securities markets without arbitrary restrictions. It is my freedom to choose the investments that I believe will achieve long-term financial security. The definition of "complex products" is broad and vague. I am capable of understanding leverages and inverse funds and their
I'm not in favor of restrictions that punish intelligence and due diligence in order to protect ignorance. Making the system more fair with adequate enforcement against the bad actors that use detrimental activities to exploit and diminish shareholders equity would appear a much more effective approach to improving the systems performance. Naked short selling as an example.
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
As an individual investor 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. I am
capable of understanding leveraged and inverse funds and their risks. If I am not familiar with the investments then that risk lies solely with me. I can enlist the help of professional management if/ when needed
I oppose the proposed action by FINRA. Many investors use leveraged products as insurance or hedges to counter market volatility. The proposal is a direct confrontation on my freedom to make my own investment decisions.
I have over 30 years of investment expertise and realize the risks in inverse and leveraged funds. They make up only a small portion of my total portfolio and are used to protect