I oppose government restrictions to my right to invest in things such as inverse ETFs. They are public investments and should remain fully accessible to the public without government restrictions. I feel totally informed and safe in making this kind of investment decision and have been doing so for some time. So long as risks are spelled out for the investor they are suitable for any private
(a) Applicability of Rule
This rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. Except as otherwise provided in this Rule, all provisions of the Code apply to such arbitrations.
(b) Single Arbitrator
All arbitrations administered under this Rule will be decided by a single arbitrator appointed from the FINRA chairperson roster in accordance with the
(a) Authority to Initiate Halts In Trading Otherwise Than on an Exchange in NMS Stocks and Facility ClosuresFINRA, pursuant to the procedures set forth in paragraph (b):(1) shall halt trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b) of SEC Regulation NMS, whenever a Primary Listing Market declares a Regulatory Halt in the security.(2) shall halt trading otherwise
<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
If there was more transparency into short seller positions paired with the proposed enhanced reporting practices it could encourage a more fair market for all investors, not just those largest participants. When attempting to do research into short positions into some companies I had a long position in, the information was so sparse, and vague to say the least, you could not accurately assess the
The data elements specified in Rule 7130(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms using the trade reporting service of the System have an ongoing obligation to input such information accurately and completely.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
I am extremely concerned about the threat to my freedom with regards to my investments. I am fully aware of the risks involved in the leveraged funds I choose. I do not need intervention of the government to make decisions for me and my family. I need to make investment decisions to hedge my finances against the governments decisions. For example, the current administration's policy on
I took the the Financial Program and it did not help. The broker intercedes and advises on all vehicles I trade.
For years I have timed and learned the markets.
It only comes from experience in testing and not some education program. It is trying different vehicles then testing for knowing how they work
Regulations do not protect the beginner and what test can any one come up with to compete with
Greetings,
I run a systematic quarterly rebalancing plan that is powered by leveraged ETFs. I know what I am doing, understand the risks (and benefits), and as such, the proper use of these leveraged products is a key part of my financial plan.
These funds are important to my plan; they improve my performance over the long haul. I am not engaged in reckless trading. I understand the effect of
I am disagreeing with the concern and motion put forward to regulate ETF products with leverage and inverse properties. As an investor, I am capable of making an informed decision in regards to the risk I am willing to take on with my investments and therefore do not agree with the proposal to restrict these financial products to those with FINRA authorization or special knowledge. If there is an
