Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
Term
Description
Exceptions Periods
Date of all listed options position, as reported.
Total Number of Exceptions
Total number of issues reported during the period.
Large Options Positions Reported (LOPR) - Listed Detail Data
Term
Description
Position Date
The position date
I am in favor of keeping of leverage ETS, margins are adjusted for leverage; there are agreements investors signs before trading leverage ETF , the agreement explains the clearly key risks involved , potential losses and it is an instrument suitable for short term trading only. i am not why this comes up every now and then
It is very important for me to have financial flexibility with my investments. I dont always think the S&P 500 will go up and I like the ability to invest in an inverse S&P 500 fund without needing to pick individual stocks to short. Please dont take away my investment flexibility.
Individual investor does not have opportunity to create large and risky positions in short or inverse funds .They are useful only as hedging instruments in time of market stress .Primary purpose is a protection of investment and that opportunity should not be removed from retail investors. Leave it alone ,we need it ! Jerry Poklepovic
long or short market is a free investment, individual make their own decision and responsibility to put their money to work, based on their own homework, for this reason, government/regulator must get out of way to let people have choice to invest, more important, people are much more smart than regulator.
Instead of focusing control of smaller investors why not focus on manipulation of the market and securities by the larger financial groups practicing Short Selling. That faction ruins a "fair" market for all and is apparently legal theft and manipulation. I thought the point of "fair and equal" market rules and regulations was to prevent theft and
Use of short and commodity funds has been key to my investment strategy for many years. There are plenty of warnings published with all these funds, if people won't read and heed warnings, the should not be investing at all. In a free country though, they have the right to use all the tools, and that is a good thing.
Brokers should not be able to lent out our shares and use it for illegal short selling. Many brokers have this program, and some of them opt-in to lent out our shares even if the customers agreed not to.
Please shows short-sell study in chart like green and red candle bars for inflow and outflow add another color bars for short-sell and covered shorts in real-time. Including dark-pool buy and sell.
