I oppose regularing trades to buy leveraged and inverse funds, like Ultra and UltraShort exchange-traded funds, as well as many other types of popular investments.
As an investor in a short ETF of the S&P, I take exception to regulators entering into the process of what ETFs, I can purchase. I am well aware of the risks associated with it.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice that would: (1) subject advertisements and sales literature
Good evening, I write to explain my frustration with the current market, some market makers as well as bad players. The United States stock market is currently very manipulated and it is becoming so obvious that I feel it is endangering the US stock market. Short selling has become a big problem for a few players out there. I believe they have made a lot of money and when caught the fines have
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community. TRACE is FINRA’s real-time, over-the-counter price dissemination service for the fixed-income market, bringing transparency to the debt markets, including corporate and agency debt as well as asset- and
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
When you retire, you begin to take income from your defined benefit pension or defined contribution plan. You may also take income from a Social Security account. Learn about the payout options from each source and what each means for your personal situation.
REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End
I oppose limitations on my ability to buy and sell ProShares funds. I use the funds with patience to pick points that work very well for me.
Thank you
