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FINRA regulators: Please do not add additional regulation to leveraged and inverse funds as proposed in rule #S7-24-15: Why? 1. These are ALREADY public products APPROVED by the SEC and INCLUDE clear risk warnings. Why impose higher hurdles that would PRECLUDE my ability to use these products. I am specifically concerned about the condition to demonstrate high net worth as I am a small investor.
SEC Proposed Rule #S7-24-15 I vehemently oppose restrictions to my right to invest in public investments. I am able to chose the public investments that are right for me and discuss with financial advisor as needed. These investments should be available to all of the public, not just the privileged. There shouldnt be any special process like passing a test before investing in public securities
To whom it may concern, I have used leveraged and inverse funds within the past two years in time of high volatility to hedge against my portfolio. If the instruments are taken away from us, and allowed for use for only to special personnel then my right to choose my investments is essentially taken away. I understand that there are risks involved with the use of leveraged and inverse funds,
I, and or my broker, (not regulators) should be able to choose any public investments that are right for me and my family. Public investments are my freedom of choice, and should not be regulated or infringed upon by anyone out side of my household. I believe "Investing" should be available to all who want to do it, public or otherwise. (Free Enterprise), not just the privileged. We
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. You 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 leveraged
Various updates.
MSRB Rules G-12 and G-14
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Senior Management
MSRB Rules G-12 MSRB Rules G-14 Transaction Reporting
Executive Summary
NASD reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (MSRB) Rules G-12 and G-14, particularly the requirement that member firms report their
August 7, 2006
NASD is publishing this article to provide additional guidance to members regarding use of the Routing Method Code of "S" (Smart Router) on Route and Combined Order/Route Reports.1
For purposes of OATS reporting, NASD defines a Smart Router as a system that, based on predetermined logic applied to variable market conditions, determines without human intervention, the
These days many investors are trading online, whether through the Internet or through other electronic means, such as a mobile app. This may sound pretty straight forward, but there continues to be some common misconceptions about online trading. Here are four myths in need of busting.
FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.