I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST I not regulators 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
I not regulators should be able to choose the public investments that are right for you and your 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 you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding
Being and American citizen comes with many things and one of those thing is the freedom to "contract". I have the privilege and ability to "choose" whatever investment strategy that works best for me and my family... Not regulators. If there is a public investment, it should be available to everyone that has the desire to invest, not just those that are "privileged"
I appose rule #S7-24-15. I have been using leveraged and inverse ETFs as part of my investment strategy for years. They are vital as a hedge against long positions during market downturns, or to enhance returns when the markets are moving higher. They are a critical tool, and are used sparingly. There is no reason why only High Net Worth individuals should have access to these instruments. There
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual Fund
Executive Summary
Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of the July 7
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes
13100. Definitions
13101. Applicability of Code and Incorporation by Reference
13102. National Arbitration and Mediation Committee
13103. Director of FINRA Dispute Resolution Services
13104.
Overseeing Thousands to Protect Millions Following World War II, American consumer interest in the stock market surged, thanks to the end of wartime austerity and a surplus of cash. By the mid-1950s one out of every 12 American adults personally held securities, while millions more owned them through insurance companies, mutual funds, or pension funds. As stocks boomed and demand soared, so too
