Executive Summary
NASD Regulation, Inc. (NASD Regulation) recently has observed a correlation between sharp increases in the volume of electronic messages relating to certain low-priced securities and dramatic increases in the price, volatility, and volume of these securities. Often, these messages are sent without attribution to a large, undifferentiated universe of Internet or on-line
There is no need for any additional regulation on these funds. The risk is spelled out on the prospectus. These products give the average investor the ability to trade the indexes, either long or short, in a reasonably priced fund, as opposed to trading the DIA at 338.00 per share. Level the playing field, not the other way around.
Term
Description
Exceptions Periods
Date of all listed options position, as reported.
Total Number of Exceptions
Total number of issues reported during the period.
Large Options Positions Reported (LOPR) - Listed Detail Data
Term
Description
Position Date
The position date
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
(a) For purposes of the Rule 6300A Series, unless the context requires otherwise:(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.(2) "Designated securities" means all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS.(3) "Member" means a broker or dealer admitted to FINRA membership.(4) "Market Maker" means
(a) General
(1) Applicability — This Rule 2350 Series shall be applicable to the extent appropriate unless otherwise stated herein, to the conduct of accounts, the execution of transactions, and the handling of orders in exchange-listed stock index warrants, currency index warrants, and currency warrants by members who are not members of the exchange on which the warrant is listed or
If the manipulation around AMC and GME isn’t addressed, the market is going to loose millions of investors. AMC and GME are being naked shorted, and abused by means of dark pools. If I know this, the SEC certainly does.
With FINRA allowing naked shorting and the whole fiasco that goes along with that, affecting the small investor to a large degree, I cant imagine why your organization is restricting ProShare trading. Is this another scheme to bilk us? No wonder Republicans are going to retake control of our country! Leave us alone.
I am in favor of keeping of leverage ETS, margins are adjusted for leverage; there are agreements investors signs before trading leverage ETF , the agreement explains the clearly key risks involved , potential losses and it is an instrument suitable for short term trading only. i am not why this comes up every now and then
Individual investor does not have opportunity to create large and risky positions in short or inverse funds .They are useful only as hedging instruments in time of market stress .Primary purpose is a protection of investment and that opportunity should not be removed from retail investors. Leave it alone ,we need it ! Jerry Poklepovic
