SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has revised the NASD Sanction Guidelines (Guidelines), which are used by the various bodies that adjudicate disciplinary matters (Adjudicators) to determine appropriate remedial sanctions. The National Business Conduct Committee (NBCC)
I fell that various Cryptocurrencies are understandable by me and may play a part in my future financial plans. I am a retired dentist who spends over six hours per work day studying various financial instruments. My total dollar value of all of my stock accounts is over $1,600,000. I believe that to limit my ability to trade in Cryptocurrencies puts me at a disadvantage compared to investors all
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Talking about money issues can be stressful. Talking about them while a service member is deployed to a remote location can be more so.
GeneralDo Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A+ offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with
I use many tools available to us investors helping me towards my financial goals. Some of the tools happen to be leveraged and inverse funds that you are currently looking at upending. To remove these tools from my toolbox is wrong.
I make the decision as to which investments that are done and any restrictions on my right to invest as we know today should not be put in place.
Having my financial
No one makes my financial or investment decisions but me. I particularly object to having to pass a test or get a broker's permission to invest my own money as I see fit. I might consent to take the advice of a broker or a government bureaucrat if either of them could demonstrate superb financial or investment acumen, but I consider that unlikely. You bureaucrats mess up with the
I used leveraged funds as a very small part of my investment portfolio. I understand the risk associated with them, have talked with financial advisors and explored the risk on my own and use it as part of a diversified approach. I do not need government or regulatory oversite to make a financial decision. Public options should be available to the public, not just those who a select group can
SUGGESTED ROUTING:*
Corporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comment on amending the filing requirements of the Interpretation of the Board of Governors — Review of Corporate Financing to exempt offerings of Canadian issuers filed on proposed SEC Form F-9, and on Form F-
To limit leveraged ETF funds to the Wall Street elite and the very wealthy would be inequitable. This would be one more step toward the economic equality in this country that has manifested over the past four decades. To have one set of rules for the rich and another for the middle class and lower class limits opportunity to invest and the chance to improve one's financial station in
