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SEA Rule 15c3-3a Exhibit A and Related Interpretations
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Kazuyuki Nakayama Comment On Regulatory Notice 22-08
As long as you have a margin account, leveraged and inverse funds don't matter because you can use margin leverage and short the funds. The leveraged and inverse funds are much safer to manage the risk rather than using margin because unlike leveraged margin positions, the leveraged and inverse funds never go negative price. In that sense, the leveraged and inverse funds are actually safer
Richard Bertin Comment On Regulatory Notice 21-19
While short positions is legal and should remain so, predatory shorting that harms American companies, it's consumers, and American investors should be abolished. Greater monitoring of the practice and regulatory enforcement to prevent it from occurring is desperately needed. "Dark Pool" trading in particular is should be illegal and have those that participate in it the subject of
Bailey Ponder Comment On Regulatory Notice 21-19
Hello FINRA I'm a simple and uneducated ape, I'm fairly new to the market. I have seen verified data that shows companies (such as Melvin Capital and Citadel) funding media outlets to reinforce their short positions on a nearly perfect cyclical basis, I have seen people on social media paid for directly by such companies, and even worse I have companies ravage through money that wasn
Ben Roberts Comment On Regulatory Notice 21-19
I'm afraid these changes do not go nearly far enough. While additional and more timely information is certainly appreciated, I believe what we need is for all short sales to be reported similar to the availability of Level II data. That is, every short sale should have to be recorded and immediately posted with the loan terms, where the shares were loaned from, and through which market it
Mahesh Goswami Comment On Regulatory Notice 22-08
I have been trading leveraged securities for many years starting with Guggenheim Funds (previously traded as Leveraged RYDEX Funds). My success with these investments helped me finance 100% college educations of my 2 sons, all way to JD / MBA and Finance MBA. That totals to 14 years of college education. Later, I replaced RYDEX Funds with ETF (TQQQ, SOXL, QLD) to help me with my retirement
Anthony Rivas Comment On Regulatory Notice 21-19
Hi there, thank you for reading my comment. I support all of these new rules. However, re: rule #1, I would like to see that in conjunction with rule #2, not as an alternative to it. I also believe all short interest data should be reported on a daily basis not just to FINRA but also to the public as this data is crucial to some trading strategies and I believe it is available to institutions but
Ruben Rivera Comment On Regulatory Notice 22-08
As a smaller investor (net worth <$1,000,000), I find that there is great value in being able to trade with a leveraged product. By using a leveraged product that does not require me to use personal margin, I can keep myself debt free, use a leveraged product, obtain the benefit of either rising or falling markets, and hedge long or short. I trade and focus on the S&P 500 only.
Paul Ferris Comment On Regulatory Notice 22-08
To: FINRA Re: FINRA Regulatory Notice #22-08 To Whom it May Concern: I am firmly opposed to any imposed regulations or restrictions of the open market buying and selling of leveraged and inverse investment products. Investing in inverse products is no different than shorting a stock. Inverse products allow investors to invest in a stock or a segment of the market or a market index that is in
William Lehnert Comment On Regulatory Notice 21-19
These rule changes are long overdue - public faith in equity markets represent a vital economic and strategic strength of the US and our position in global finance. There will be specific firms that lobby to oppose these rules for their own selfish near term purposes - but they are ultimately short sighted and against the public interest. Tens of millions of Americans rely on equity markets now