Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
Naked shorts are illegal. They have always found a way around all the SEC regulations and rules. Dark pools, sending stocks to OTC and other countries so the sec cant keep track. letting a human report is always going to lead to lies and illegal activities. the fines are chump change for them. Jail, losing the right to trade. They are children, and like children, you can tell them 15 times not to
The open market system is important to the U.S.A. It makes socio-economic mobility possible. It makes our country an attractive place for immigrants who also work hard and produce for our national economy. Restrictions to our open market system are effectually discriminatory. While there are so many quantifiable "real problems," restrictions to the open market is not a priority
Do you remember the tax act of 1986, it took back what was granted to investors in the 1981 tax act and slammed the entire economy into reverse for about five years. This is the same kind of action.
I would not use inverse ETFs, or short market.
I keep the exposure as s small portion of an overall portfolio, and have a large cash balance. So, using these, I can keep cash % larger.
Biggest single
Dear sirs
I am testing a strategy using leveraged ETF's. My simulation shows it is feasible and successful. I have the following considerations:
1. ETF's are funds of many stock stocks, especially market ETF such as TQQQ. It has market risk but not the risk of individual companies. Sometimes, individual companies have higher risk than the market itself.
2. My strategy is short
It is alarming that FINRA wants to prevent me and my family from making money using leveraged ETFs during this current market cycle. I am able to use these funds such as SQQQ to hedge my portfolio during the current volatility. This has prevented my account from being negative for the year. I have also used some of the commodity funds to take advantage of the rise in oil prices. I am not a
This category mapping is provided as a tool to assist member firms in understanding Rule 4111. The terms used in this mapping are defined in Rule 4111, which controls their meaning. This mapping guidance will be updated publicly as needed.
The table below maps the disclosure events that are relevant for Rule 4111 (Restricted Firm Obligations) by category to the
Leveraged funds are critical to my investment strategies. Yes, I have lost money at times, but I understand the risks. A risk I can't plan for is regulation taking away my ability to make the right choice for me and my investment goals and risk appetite.
I think every investor should be allowed to invest in the securities they wish to -- regardless of their net worth.
As a responsible
I strongly oppose any proposal by FINRA to regulate my ability to invest. The implications of these proposed regulations are insulting and offensive on the surface, implying that investors are not capable of making wise investment decision. Perhaps the ulterior motive, however, is to limit certain PUBLIC investment opportunities to the "ELITE." We don't play that
Non-accredited investors are already discriminated against through exclusion from private equity and initial series of funding for new start-ups. FINRA protection from risk/profit is not helping, it is hurting small investors. Taking away small investorss ability to utilize leveraged or inverse ETFs prevents them from any chance of hedging. It is criminal and discriminatory. I have had enough of
