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Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
I have used Leveraged funds SUCCESSFULLY for the last ten years. They have added significant gains to my retirement plan. Please leave them alone.
I have been an individual investor for 30 years. I use leveraged etf's to help myself manage risk. They serve as an important part of my investing plan.
Please continue to allow people the freedom to use leveraged ETF's. I personally use them and know the risks.
I use them within my 401K plans only.
August 1999
Broker/Dealer Day Zero Preparation
Over the weekend of January 1 and 2, 2000, broker/dealers will begin assessing the need to invoke their written contingency or disaster recovery plans. These plans should reflect potential scenarios that could be encountered duringthis unique transition. Firms will implement contingency and disaster recovery plans to the degree necessary to ensure
I am against the proposal to limit individual investors access to leveraged investments. Their use is an important part of my investment plan to take advantage of short term opportunities in the market.
Hello,
As an active investor, recently retired, my family and I depend on intelligent use of leveraged ETFs to grow and sustain our portfolio.
I oppose any restrictions on retail investors to use leveraged, inverse or volatility index related ETFs.
These leveraged ETFs are simply a reasonably straight forward alternative investment, which generally consists of options contracts related
2024 is the third year that Juneteenth is recognized and celebrated as a federal holiday honoring the official abolition of slavery in the United States of America. As history states, President Lincoln abolished slavery with the Emancipation Proclamation in 1863. However, that did not immediately end slavery throughout the United States.
FINRA's scheme is misguided because *it HURTs Investors freedomto choose investments, *definition of complex products"is too broad, * the plan upends the right of power of investors to decide what o invest.
Hi FINRA,
How are you?
I believe in democratizing investing and having the freedom to choose any one or more of several asset classes of investments that I want because I believe in individual freedom of choice of investments since that is true democracy and capitalism.
We do not need central planning by the government because this is not Russia or China. This is the United States of America.
I