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I am a retail investor and use leveraged ETFs for a portion of my portfolio. Before buying these leveraged ETFs, I did a significant amount of research to understand the risks. This included back testing how the funds would behave in different market and monetary conditions. I also read the prospectuses for the funds. All this information was available and provided sufficient information on the
The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
New Series 51 Examination
On September 30, 2002, the Municipal Securities Rulemaking Board (MSRB) filed a proposed rule change with the Securities and Exchange Commission for the MSRB's new Municipal Fund Securities Limited Principal Qualification Examination (Series 51), as well as an amendment to Rule G-3, on professional qualifications. Administration of the new Series 51 examination
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 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
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.
Summary
The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.
Background
Offers from people or organizations who claim they can help you recover money lost from previous fraud can be tempting. But these offers, which want you to pay money up front for the recovery “services,” are almost always fraudulent themselves. Learn to spot fraudulent recovery scams and avoid further losses.
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