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Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 17, 1994. On January 17, The Nasdaq Stock MarketSM and the
I appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the
Sec. 8.1 FINRA shall be the sole stockholder of the capital stock of FINRA Dispute Resolution.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.
Selected Notice: 10-32.
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering where all decisions regarding the allocation of shares in the offering are determined at the sole discretion of the issuer, and the involvement of a member in the offering is mandated under state law and limited solely to ministerial functions.October 18, 2005 Noel M. Gruber, Esq.Kennedy &
I have been using index Inverse Leveraged ETFs (I-LETFs) as a portfolio hedge, given that my single stock positions can be volatile, and that my portfolio is not correlated with the indices I inverse.
I use I-LETFs in my active trading account, not in my long term investment account.
The I-LETFs are usually under 10% of my portfolio--I rebalance my I-LETF exposure almost daily, to counteract the
I believe that most people who do choose to invest in these funds are aware of the risks and do their own homework before they start investing. While I do believe that offering education on the risks, as well as risk mitigation strategies, would be beneficial for traders, I do not believe that extra layers of bureaucracy and testing will create better or safer traders, and will simply reduce the
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
New Year's Day: Trade Date-Settlement Date Schedule
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, January 1, 1992, in observance of New Year's Day. "Regular
I have made over $700,000 investing in inverse and ultra funds over the last two years. I'm a highly educated investor and use the Elliott wave methodology to invest. I'm retired and have no other source of income. I couldn't make this type of return if I invested in individual stocks and bonds. In a down market, which we are in currently, I use inverse funds to make
Dear Sirs,
I have been investing in leveraged securities since 1979 and have never had a margin call. For 20 years, I traded commodities on the Chicago Futures Exchange and held a full-time job as a construction Teamster. I counsel people to not do that. I just wish to make the point that I know how to safely handle leverage, and don't need a hand-holder. I do my own research, having
