SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
Your financial firm may request that you give them the name and contact information of a “trusted contact.” While it’s not mandatory that you do so, FINRA, the North American Securities Administrators Association (NASAA) and staff from the SEC Office of Investor Education and Advocacy urge you to consider providing the name of someone you trust as a contact on your accounts.
What
Dear FINRA,
The(Your) tentative unnecessary regulatory interference, deemed potential unwarranted regulatory adjustments, by the majority of investors in U.S. financial Markets', and the/their use of 'free-trading' instruments in the purchase and sale of, ie., Currencies, Commodities, Bonds, Notes, Stocks, ETF's, etc., such as and in particular, those '
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
(a) Supervisory SystemEach member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with the member. A member's supervisory system shall provide, at a minimum, for
I have been investing in TQQQ for 5 years now. I use a quarterly rebalancing method that has benefitted from TQQQ's high degree of volatility. When it is high, I sell off a portion. When it is low, I buy more shares with the money set aside in bond funds for this purpose. I understand the risks associated with this product and trade accordingly. I recognize the possibility of losing
To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-
To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional investors engage in relationship-
Thank you for taking the time to read my concerns. It is important that individual small investors not have their rights of financial self-determination impinged by regulators. All investors need to be allowed equal footing from which to operate. The super-wealthy should not be granted the privilege of having tools available, which protect and hedge other investments that the small investor
SUBJECT LINE: Regulatory Notice 21-19 To Whom it May Concern, In a fair and open market there should be transparency and a level playing field for all investors. Right now, there is a massive deficit in access to information, trade speed, preferential terms and types of trades, and pay-to-play investing that heavily favors institutional investors over retail investors. Additionally, institutional
