Retirement income management is all about making sure your retirement savings provide enough income for your needs, and that you don’t outlive your assets. This starts with setting up and managing a portfolio that's right for you.
Dissemination of Qualified Contingent Trades Reported to FINRA
Sec. 8.7 In the event that any certificate representing shares of capital stock of FINRA Dispute Resolution shall be mutilated, FINRA Dispute Resolution shall issue a new certificate in place of such mutilated certificate. In the event that any such certificate shall be lost, stolen, or destroyed FINRA Dispute Resolution may, in the discretion of the Board or a committee appointed
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
Over the past 6 months I have been investing a relatively small portion of my portfolio in leveraged inverse funds to hedge other portfolio positions.
It is difficult to understand how regulators would presume to require a 'test' or other special requirement to invest in these tools.
Certainly, leverage has risks. Certainly, stocks have risks. If you can't accept that
Any investor should be able to choose the public investments that are right for them. Investments should be available to all of the public, not just the privileged.
I find it offensive that I would have to go through any special process like passing a test before I can invest in public securities, similar to leveraged and inverse funds. The reason they are necessary in the first place is
Over the past 20 years millions of small investors have chosen to make their own investment decisions, and have invested time and money into EDUCATION. It's very clear that wealth has been consolidated .... to an unprecedented level ... and that trend is just continuing. Are leveraged and inverse ETFs risky investments? Surely they are. But with earnings (EPS) at nearly record levels,
I am adamantly against the regulations imposed re: 22-08.
"The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification)."
Why is there any desire to take such an offering away, or
Dear FINRA,
Public investments should be available to all of the public NOT just the PRIVILEDGED.I should be able to choose the public investments that are right for me.
I am very capable of understanding investments and the risk. I shouldn't have to go through any special process of test taking before investing in leveraged and inverse funds. I have done my own research and am very
