The proposals put forward are a solution in search of a problem. Leave Retail Investors alone. Retail Investors do not want, nor do we need, your "protection". Government regulation already restricts the general public from certain investments with the accredited investor rules, we do not need additional prohibitions placed upon us. It is difficult for me to believe that there
I am strongly opposed any additional regulations to leveraged and inverse securities. All investments have an element of risk; by requiring a list of pre-requisites to trading these securities, you decrease the investor base with access which could add to increased volatility as well as making the acquisition and disposition of said securities much more difficult. Additionally, further
TO: All NASD Members and Other Interested Persons
ATTN: Syndicate Department
As a result of a recommendation of the Advisory Council of the Board of Governors of the Association, the Corporate Financing Committee has recently considered the need for more prompt settlement of syndicate accounts in distributions of corporate securities. Syndicate accounts are ordinarily formed by underwriting
REQUEST FOR COMMENT
Pandemic Regulatory Relief
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Temporary
Comments: Back in the 1990s when I started it was quite common for people who wanted to trade leveraged diversified products to establish a mutual fund account at Rydex (now part of Guggenheim). There were other products which were similar at the time though I think most have closed. The most popular trading were the Fidelity Select funds which had a 3% load specifically to allow for more rapid
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MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding
Comments: I am an investor, an advisor, a father, a son, husband and business owner. I have used these leveraged products in small amounts and I feel there is a lot of warnings, disclaimers, etc on these already. If anything maybe make the warning bigger or more bold but don't limit the access of these. That would in my mind do the following 1-increase risk because it would limit volume and
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
