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Executive Summary
Effective January 2, 1997, tier sizes for 762 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g).
For more information, please contact Nasdaq Market Operations at (203) 378-0284
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
Leveraged and inverse funds are an important method of protecting my investment portfolio from massive downturns similar to what we experienced in 2000 and 2008.
The current volatility of this market is a great concern of mine. Rampant inflation, government spending, world conflicts require me to position my portfolio to offset these factors.
I am a veteran investor having spent 25 years as a
I want to choose my investments and NOT have regulators restrict me. I do not want them "protecting" me. Let me take my own risks. I am a financial professional and don't want to take any test to "qualify me". If I lose my investment, I will not be looking for a bail out. It is my responsibility to assess my own risks. The only exception is if
I would like you to let me maintain my ability to choose the type of investments that I consider are best for my family's financial future. This includes my ability to invest in leveraged and inverse funds since I understand the trade details and inherent risks involved. Please do not take away my ability to freely and unhindered invest in such products. Leveraged and inverse fund
I should be able to choose my own investments for myself. Choices should not be regulated and accessible only to the privileged; As an investor I am capable of understanding leveraged funds; I do not need regulating or approval measures imposed on me; These funds are important part of my portfolio and strategies; I use them as a defined percent to seek enhanced returns; I strongly feel the
Dear FINRA Regulators
In a period of history when Federal regulators threaten everything in the Bill of Rights, You now plan to restrict one of the few ways left to counter the massive inflation Congressional overspending has caused. Give private investors credit for having more financial literacy than most members of Congress and the white house. If you think the Overreach of Federal authority
Individual investors must always be able to choose whatever investments they decide are right for them and their family. After over 5 decades of investing, I should not be required to prove to some regulator that I am capable of responsibly handling all aspects of my financial situation. The vast majority of investors use leverage only to protect their other positions and/or to amplify the
As my investments are managed by a Fiduciary 3rd Party Investment firm I trust they know what they are doing and these restrictions on my ability to invest MY MONEY is another government overreach.
I have the financial security to tap into these more aggressive strategies that help build reasonable overall return given these times of severe inflation and horrible fixed income ROIs. Please place
This appears to be a veiled attempt to disenfranchise retail investors to the benefit of institutional investing teams and financial managers. Even if that was not the intent, these proposed rules will have that effect. I object to being denied access to investment products others are allowed to access, regardless of the reason. If there are 'complex products' that are so
