Correction - On page 1, the second paragraph under subhead Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, the entry of either Issue Symbol or CUSIP will be required.
INFORMATIONAL
SEC Rule 15c3-3 Reason Codes
Effective Date: July 10, 2000
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SEC Rule 15c3-
Investors looking for different ways to diversify their portfolio by providing access and exposure to illiquid strategies or alternative assets may look to interval funds, but these come with unique risks and characteristics and have a fee structure that may be higher than those charged by other types of funds.
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 25, 1986, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also, MSRB
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Executive Summary
On September 28, 1995, the Securities and Exchange Commission (SEC) approved proposed changes to NASD® rules governing index, currency, and currency index warrants. The amended rules:
revise the listing criteria for stock index warrants;
specify the customer margin
I object: Thumb on the scale regulations. This doesn't do small investors any favors. A reverse split is one thing. To remove the ability for opportunity as a threat becomes real--- it becomes a question of loyalty, but to what risk. It would reason out, that, all short option plays be included in this regulation proposal.
The market doesn't just go up. it exposes opportunity
I have been an investor since the 80s. I invest in a variety of stocks in the hope of owning a share of each companys profits. It is a business. Throughout the years, stocks rise, fall, and rise again. At times, the whole market tanks. The only way to protect myself as a small investor, is to be able to hold inverse investments. Like shorting individual stocks, inverse vehicles should stay on the
I am against regulating the leveraged and inverse ETFs.
My brokerage co. Fidelity make you read a statement and request that you are able to invest in what they term more aggressive investments. I appreciate the ability to be able to invest in leverage fund instead of having to do it through playing with margins (i.e. loans) and inverse without actually having to mess with shorting a stock.
Levered ETFs are a critical part of my investment methodology. They allow me to take advantage of short term trading opportunities, and do not represent core long-term investment holdings. Additionally they generate returns that are meaningful with limited capital, something I can't do without leverage. The current disclosures and warnings provided by brokerages when a trade for a
I use inverse funds to keep my savings from reducing because of inflation. In a time when stocks, bonds and cash are all loosing value, inverse funds are the easiest way to protect my savings. Put options are difficult to understand, and my brokerage will not let me short stocks directly.
If you want to discourage gambling tax trades and make casinos illegal.
