Summary
Following the enactment of the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 (Act), FINRA amended the Code of Arbitration Procedure for Industry Disputes (Code) to align the Code with the Act.1 Among other things, the amendments permit persons with sexual assault claims and sexual harassment claims to elect not to enforce predispute arbitration agreements
My investments are my choice. I dont get to buy or sell stocks in advance before passing legislation that effects stock value like you elected officials. Leave my options alone. If you dont understand triple leverage and inverse funds, thats not a reason to limit me from using them.
I very much oppose these proposed restrictions. Any and every stock issue carries risks inherent to the individual stock, and these are no different. It is up to the investor to educate and investigate the risk and determine whether it fits within their own risk profile. This is not for the regulatory industry to define, unless the information and prospectus is giving false and/or misleading
No reason to penalize everyone for a few bad apples. I use inverse ETF's during times when the stock market is going down to balance out (hedge against) losses and so I can hold on to my winners. If the inverse ETF's are subject to special processes beyond the usual rules for all stocks, this would be unfair.
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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
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 30, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comment on two proposed amendments to the NASD Rules of Fair Practice. The proposed amendments would require members to (a) mark all customer order tickets "long" or "short" and (b) make an affirmative
More oversight and transparency is needed for short interest, options, and derivative products. It is not acceptable that there is a maximum threshold for short interest set at 140% where in actuality it could be much much higher. It also appears that there is no enforcement of false reporting. There is evidence that Citadel has call option contract out larger than shares existed while retail
What do a Kenyan brewer and a Pakistani cement manufacturer have in common? Both are publicly traded on stock exchanges in frontier markets.
Use of Inverse and Leveraged ETFs are great for investors to use when the markets are not functioning properly, perfect for late 2021 and now 2022. ETFs are common, simple, even teenagers understand how to use them.
Planning for retirement in a bear market is difficult in the best of times. When we hit a bear market, or a crashing market at the age of 60+, with inflation over 8%, certainly we
(a) The Director will serve the Claim Notification Letter on an associated person directly at the person's residential address or usual place of abode. If service cannot be completed at the person's residential address or usual place of abode, the Director will serve the Claim Notification Letter on the associated person at the person's business address.
(b) If a member and a
