There really needs to be individual markers or identifiers for each stock. This has been ridiculous to watch as there are "sythetic" shares that are causing an impact on the market as a whole.
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to
Investing in leveraged ETFs should available to all investors and traders at all times. Leverage is not the enemy. If it were, very few of us would have mortgages. Right now, people of all levels of investment knowledge have access to trading stock and index options. Many of these people buy calls, most of which expire worthless. There is virtually no barrier to trading stock options that my
I am capable of choosing my own direction when buying any type of stock or funds I do not feel that it is right to limit anyone from their investment choices
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
Every member that is a party to a security-based swap with a customer, broker or dealer, or other Counterparty, or who has guaranteed or otherwise become responsible for any other person’s SBS obligations, shall comply with the following requirements, except that a member that is registered as a security-based swap dealer under Exchange Act section 15F shall instead comply with SEA Rule 18a-3.
Please do not restrict my right or ability to invest. I select the funds I wish to invest in based on my own research, knowledge and risk tolerance. I enter the stock market with full knowledge that it involves risk and no investment is guaranteed to be profitable. With that knowledge, I proceed with the investments I believe are a best fit for the long term success of my family. Please do not
Hi,
I use leveraged products as a part of my portfolio allocation.
I dont know if you have read the 2008 paper by Yale researchers Ayres and Nalenluff titled, Life-Cycle Investing and Leverage: Buying Stock on Margin Can Reduce Retirement Risk.
In this paper, they detail how the use of leverage in stocks for young investors can REDUCE the risk those investors will not have enough in retirement.
I am an investor in the stock market and some mutual funds and it is regulated enough.We don't need you to save us we can take care of our selves.
I strongly oppose any regulations of restriction on buying TQQQ or SQQQ, its our right to purchase any stocks or ETFs, this is call free market . Thank you!
