A firm’s journey to the cloud varied based on a given firm’s specific facts and circumstances. Several firms noted that cloud migration was not a simple, linear process, even with adequate preparation, and there was no easy formulaic way to conduct a migration, given the unique circumstances of each firm. Despite the difference in each firm’s journey, however, some common themes emerged regarding
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The amendments
Very simply put, our founding fathers had a knowing. A conviction that there is but one truth. We must not deviate from the path set upon in regards to perpetuating our conviction of the self evident truth that "all men are created equal ".
Equality in creation that dictates fair access and complete freedom to invest in any public stock .
Far be it just that a man be
Dear FINRA, It has come to my attention that you are considering restrictive regulations on various final investment options that are currently offered for public investments. I am a small-time investor and do not have the same type of wealth that hedge fund and wealthy investors have so, I appreciate having the type of funds that are available today which offer various well-defined strategies.
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Give your standard disclosures. Bring back the short sale rule! Keep the auto close for severe drops on the indexes. Go after the cook the book companies, and the insider trading crooks but do not deny the independent traders,investors or institutional financial firms the ability to hedge or out gain the standard index. The great thing about the United States is that one can take risk to possibly
I am vehemently opposed to regulators restricting my ability to invest in leveraged and inverse funds. I have been using such funds for close to two decades -- they are an essential part of my investing approach, allowing me to preserve capital in down markets by investing in leveraged funds using less cash for the same amount of "firepower." Restricting my ability to invest in
While I believe that no one should invest in anything they do not understand, I do feel that any investor should be allowed to invest in any publicly available investment without restriction. Today, stocks are overvalued, rates and inflation are rising, and the government is printing money like never before. Will it all end badly? Of course it will, but if you put restrictions in place on what
I have been investing in these types of securities for a very long time especially if closed end funds are included in the list, it has been well over 20 years and I already understand the risks and have ridden through the crash of 1987, the tech bubble, crash of 2008-2009, etc.
I think these types of investments (leveraged funds, etc.) should not be any more regulated than they currently are
Dear FINRA,
I am having a difficult time understanding why you may want to regulate complex investments. Ive been a stock and ETF investors for years. A core part of my investment strategy is the use of Leveraged and Inverse ETFs.
I prefer these instruments over options as options 1) have expiration dates, 2) are manipulated with changing spreads based on volatility and lastly 3) are more