I should be able to choose what type of investments I want to invest in for me and my family. This should not be restricted by regulations or to whom regulators feel should be allowed to trade. If it's a public investment, it should be open to the public. I have used inverse and leveraged funds to hedge against the huge market crash on 2020. This kept me from losing a significant amount of
I have read that you are considering a new rule to impose substantial restrictions on investors being able to invest in certain types of investments which are considered "complex products," such as inverse and leveraged funds--and I'm opposed to such a proposal. Such funds offer opportunities to investors, especially small investors who are not wealthy, to survive turbulent markets
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged like hedge fund institutions. I understand a financial risk with these funds and know the consequences of covering the losses. You should not be the judge of imposing conditional regulations on each individual investors. When
Please do not restrict my rights as an individual to invest in public investments yet allow a privileged class to continue to invest without any restrictions. This is unfair to individual investors. Your assumptions that we are too dumb to understand complex investment strategies is an insult to all American investors. Your regulators are not our parents to make us do special process to invest.
This is WRONG! -- PERIOD! There is NO LEGITIMATE purpose for this. Let's face it and not beat around the bush, you simply do this SOLELY because you don't want the people to become wealthy and thus more independent and powerful than the criminals in positions of power who want to rule over the people. We all know this, you aren't fooling anybody. We The People know the risks and
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 (Act) which provides for the federal regulation of government securities brokers and dealers. The new legislation, which becomes effective on July 25, 1987, creates new Section 15C under the Securities Exchange Act of 1934 (Exchange Act) entitled
None of the current rules and procedures used by FINRA or its member firms create unintended barriers to greater diversity and inclusion in the broker-dealer industry or might have unintended disparate impacts on those within the industry. Quite the contrary, FINRA and the brokerage industry have made huge strides in encouraging and fostering diversity. In the 30 plus years of my career, there
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EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 28 of the NASD Rules of Fair Practice requiring an associated person to notify the employer member in
