For a fair market all short positions should be public. All information she be made public.
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
As a retail investor, I do not wish to see so-called Complex Products subject to additional regulation. Every major trading platform provides lengthy disclosures about these products. All investors using these products already have the tools necessary to understand them and become familiar with the risks if they so choose. Further restricting access to these products by ordinary investors
The core notion behind this campaign is that retail investors are not knowledgeable enough, intelligent enough or informed enough to decide what to do with are hard earned money. The state already takes from us, in the form of taxes, monies to fund social security and invest those funds in h way congress sees fit. It would seem only fair that what is left for us to invest, be done so by what we
I am an adult capable of making informed decisions. Just think of all the tax revenue that you will lose. It will be in the Billions not hundreds of millions. Thanks, Eric Schodde
Before buying these products, my brokerage house qualified me and informed me these products were for knowledgeable investors. That is all the regulation we should need.
I am an informed investor that believe public investments should be available to all of the public. Leveraged funds are a limited part of my portfolio that enhances my returns.
Do not limit my freedom to manage my own asset. Broker house has done due diligent to inform me about the risk. That is enough!
I think it is good and reasonable move. It will help make the market less like casino. The question is how will the test be designed to make it really informative to retail investors.
At the request of the Securities and Exchange Commission ("SEC"), NASD convened and led a Joint NASD/Industry Breakpoint Task Force, with representatives from, among others, Investment Company Institute ("ICI"), Securities Industry Association ("SIA"), National Security Clearing Corporation ("NSCC"), broker/dealers, mutual funds, and transfer agents, to examine the difficulties that the financial industry experienced delivering breakpoint discounts on Class A mutual fund share sales and to develop recommendations to facilitate the complete and accurate delivery of breakpoint discounts in the future.
