SUGGESTED ROUTING*
Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-NASDAQ over-the-counter equity securities ("non-NASDAQ securities") pursuant to Schedule H to the NASD By-Laws was extended to the entire
I am currently holding a position in an inverse leveraged stock. Personally, knowing how it works and understanding the risks. I do not believe I should lose my investment opportunities based on my privilege within the market, and financially. My overall opportunities as an investor and financially will become limited which I find unfair to myself as an investor.
I have been investing in inverse leveraged funds for over 10 years. I understand them and I watch their movements on a daily basis. One of the primary purposes of investing them is to protect my stock investments. I would not like to see my investing in these funds to be limited by additional regulations. Please do not impose additional restrictions.
This is a ridiculous policy that only benefits high net worth individuals and institutions while trapping everyone else in conventional investments. People should have the FREEDOM to invest how they choose. There are so many ways for people to lose money in the stock market it seems like a very focused solution to an extremely broad issue.
Please do not limit our ability to invest in what you deem as "complex products". Trust investors who do not require a big brother to permit them to invest in products outside of the overall stock market. Leverage and shorting or using inverse funds can offer superior returns or prevent a loss in a portfolio.
Hello,
I have employed inverse Etf funds for several years and understand the risk entirely.
Mostly I invest in them as a moderate defensive hedge my investments, and occassionly to add to returns. Due to the risk I never hold inverse stocks overnight.
WIth my experience and understanding, I for one see no need to regulate these vehicles.
Sincerely,
As an investor we understand risks associated with investing in leveraged and inverse funds. Please do not restrict investors(esp retail) and make investing in stock market tougher. This regulations if brought in will impact investors/traders who are already in trading and they might incur huge loss in terms of capital depreciation by scaring away exiting and new investments.
Please do not affect the way I invest on stocks and index funds and leveraged funds I have done in the past and currently is a large part of my portfolio. I have made money investing in these funds and do not want to see it go away. Please honor my right as an investor to continue these investments in the marketplace. Thank you!
FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance.
Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
Thanks for listening! As a long time holder of AMC, it is the most blatantly obviously manipulated stock ever to be seen. Yet everyone involved is scared to dig deep nervous as to what they may find. All we ask is for a true, fair and transparent market! Thank you!
