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REQUEST FOR COMMENT
Research Analysts and Research Reports
Comment Period Expires: August 30, 2002
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Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711, Research Analysts
(a) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.
(b) The term "Correspondent Executing Broker-Dealer" or "Correspondent Executing Broker" shall mean the member
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
Dear Representative
I am writing because I oppose the restrictions being sought on my right to invest or anyone's right to invest in any public investment funds as they are intended to be public. These funds should remain available to the public and not made restricted to the privileged. It is not difficult to understand public investment funds and their risks, such as with leveraged
I have been investing since 1998. The first time I placed a trade it cost $75 to place the trade over a phone. I don't wish to go back to those days. Nor do I want regulators telling me what I can and can't invest in or require me to pass a test to demonstrate my knowledge. I have invested in both leveraged and inverse funds. Inverse funds are especially useful for hedging.
I invest in leveraged funds.
They have been an important part of my long-term investment strategy for over four years.
I oppose restrictions to my right to invest in leveraged and/or inverse funds.
I am able and should be allowed should be able to choose the publicly traded investments that are appropriate for me and my family, not regulators.
Furthermore, public investments should be available
Whereas Federal bureaucrats ought not restrict the rights of citizens to participate freely in financial markets,
whereas I, not distant technocrats to whom I am a mere data point, ought to choose which investments are correct for me and my current investing situation / strategy,
whereas I should be able to access any investment or type of publicly traded security without capricious and arbitrary
Dear FINRA,
I am opposed to the potential restrictions by FINRA on my right to invest in public investments. I should be able to choose the investments that are right for me and my family. Publicly traded investments should be available to all the public and not just the privileged. I am more than capable of understanding leveraged and inverse funds and their risks. I should not have to go
I have just learned from my brokers communication that FINRA is seeking public comments on restricting investors from buying a broad range of public securities designated as "complex products". I am an investor to handle my retirement accounts. It is very important for me to use as many tools as possible to protect my investments including inverse funds instruments for and