As prepared for deliveryToday’s conversation on disrupting the cycle of financial fraud is important and timely—and we are grateful to have been able to convene such a distinguished group of regulators, policymakers, academics, law enforcement agencies, advocacy groups and financial firms here today. You all play a vital role in protecting investors, advocating for victims and working to stop
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The NASD will observe the following holiday schedule for 1994:
February 21
Presidents' Day
April 1
Good Friday
May 30
Memorial Day
July 4
Independence Day
September 5
Labor Day
November 24
Thanksgiving Day
December 26
Christmas Day (Observance)
Note: The NASD and The
The latest edition of the OATS Reporting Technical Specifications dated July 31, 2020 is now available.
This edition includes updates related to:
The delayed onboarding of the Long-Term Stock Exchange for Exchange Route Matching. Specifically, the Market Center ID related to the LTSE was revised to “XL”, a change from what was specified in the previous Technical
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Executive Summary
On February 26, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D that require members to append a fifth-character location indicator to their market-maker identification symbol (MMID) in securities that are traded at a location away from the primary
I am a private citizen and individual investor concerned about limits on leveraged and inverse. These funds are an important tool for me as they present another method of limited exposure to leverage with less downside risk than many other leveraged strategies. They are an extremely important part of my strategy as they allow for amplification of strategies that take advantage of market momentum
I am an experienced investor and have been investing in real estate and stocks for 25+ years and I have recently discovered a more niche market investment vehicle in the leveraged ETF funds. I have a diverse portfolio of real estate, broad market ETFs, Bonds, and individual shares in companies. All of these various vehicles offer a different risk/reward ratio and I am very comfortable with that
I have traded stocks for over 35 years and one of the most important rights we have as investors is the ability to make our own decisions on what specific investment vehicles we choose to buy and sell. Regulators should not limit this ability for individuals and should instead focus on finding those individuals or corporations abusing the system. Anyone that is investing should do their own due
I'm an ordinary investor in my 50s and have been investing in leveraged and inverse ETFs for about a decade. As an adult and investor I should be able to invest in leveraged and inverse products without requiring me to jump thru hoops. Leveraged products should be treated like any other high risk stocks or instrument, i.e., raise the margin requirement but do not require any undue
Dear FINRA Regulatory panel,
Herewith I want to let you know I Veto any restrictions in regards to trading any kind of assets in the public domain with any company offering inverse funds, high yield bond funds or any other offered funds of any kind.
I am well aware in regards to fund or stock trading for more then 20 years.
I belief it should be to the choice of an individual how, when, what to
