Agreeing with Tom Berwick, sending for visibility into this serious matter. I am sick & tired of large hedge funds such as Citadel performing coordinated ladder attacks against GME & AMC, as well as others. Those two charts frequently pattern in lock step with each other. Investors know, as I assume FINRA & SEC does as well, that naked shorting is taking place on a grand
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceOptionsTrading
Executive Summary
Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTraining
Executive Summary
On June 23, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Section 5(e)(1) of Appendix F to Article III, Section 34 of the Rules of Fair Practice. The amendment raises from $50 to $100 the yearly limit on aggregate non-cash sales incentive compensation that a sponsor
A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing
INANE!!!
If enacted the proposed restrictions of FINRA Regulatory Notice #22-08 would reduce my ability to hedge and thereby would INCREASE the risk in my portfolio. The proposed regulation is another example of cognitive biases in the actions of regulatory agencies. In this case the main ones, among others, being the Illusion of Explanatory Depth, or IOED, and Regulatory bias.
I am certainly
I appreciate the opportunity to comment on this proposed new rule/regulation.
I have held ProShares in one of my portfolios since early 2016. Symbol USD. This investment is up 742.06% and has split once 3:1 which tripled my shares. It has performed well in up and down markets. It has enhanced my returns in this portfolio. Here is its annualized returns 3yr 57.05%, 5yr 44.12%, 10yr 36.42%.
I
An average American who chooses to invest in equities is competent and capable of understanding the various forms of investments and the related risk. Being able to invest in leveraged equities is a crucial part of both traditional investing as well as hedging strategies that are ABSOLUTELY ABLE TO BE EMPLOYED WELL by average people. Reducing the number of potential investments and investment
Hello, I am writing in regards to regulatory notice #22-08.
Please do not restrict access to leveraged ETFs. I am just a retail trader trying to compete in the markets the best way I can. I do not have access to swaps or private markets or high speed low latency connections to exchanges like big institutional traders do so I have to make do with what I have available. Leveraged and inverse ETFs
I know for sure that having specialized rules and red tape for complex leveraged and inverse products does not actually reduce the risk faced by retail investors. Access to leverage can even be used to reduce risk in an overall portfolio, as numerous other commenters have noticed. When implemented as part of a well planned strategy, leveraged and inverse products can provide crucial diversifying
