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NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private offerings of securities distributed on a best-efforts
This panel focuses on recent developments in the digital assets space. Join FINRA panelists and industry experts as they explain how these products and related initiatives are evolving and impacting the securities industry.
Compliance Outreach Program for Municipal Advisors
FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
The lack of regulation and accountability from governmental security agencies allowing hedge funds to manipulate markets through various tactics like synthetic shorting is nothing short of financial treason against the American people. To allow these large privately owned institutions the ability to cheat and pray upon average American citizens and investors is an absolute mockery of the
I have been investing successfully in leveraged and inverse ETFs for several decades, including currently. I am a non-professional private investor. I believe there should be no regulations which limit my ability to trade these funds like any other ETF or security. I should be able to chose the investments that are most suitable for me and my family, and these should not be available to just
This being the United States it's still the land of the free. Each adult of sound mind deserves to educate themselves and have access to ALL investment vehicles. Even those investment vehicles that regulators or other individuals with a different risk profile would deem too risky or inappropriate.
Each person must make their own assessment of risk and whether that level of risk is
Limiting the options for individuals to invest in public investments, which any sort of investment, whether its a security, ETF, CD, stock, fund, note, trust, etc, whether its complex, or not is not justified. Simple investments would still have a risk, irregardless of banning and limiting certain individuals to be involved in any sort of investments.
Any sort of investment, simple, or complex
I am aware of the restrictions that may be introduced on my leveraged investments and I strongly appose any limitations likely to be considered on these investments! As a private investor I should be allowed to choose where to invest my capital as I take full responsibility for the outcomes of my investment strategy. I understand leveraged and inverse funds and am fully aware of the risks
It has come to my attention that regulators are considering limiting access to leveraged and inverse funds without meeting certain restrictions. While I understand the concerns that regulators may have in wanting to protect the investing public from themselves, I believe regulating this space would be an unwanted and unnecessary intrusion into peoples private investing decisions. One could