There are plenty of disclaimers for investing in risky assets and instruments. Additional regulation is not required in this arena.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 20, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,729. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 1501, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALWA.GA
Alamosa Delaware Inc
12.500
02/01/11
AMR
The people should be free to invest their money in any legal asset. Full stop.
Please let ME decide whether I am capable of investing in any assets.
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 15, 1989, the following 18 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,798
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
Leveraged ETFs offer a great way to capitalize small capital on the long term! Maybe the best thing an amateur can do is buy the UPRO and hold it several years!!! why do you want to close that opportunity?
To Whom it May Concern:
I am an active retail investor with a small portion of portfolio in leveraged and inverse funds.
During the recent market downturn, hedging against losses by investing in leveraged and inverse funds has helped me to beat the market over the past three months. Without access to these types of funds, my ability to respond to market forces would be substantially hampered.
I
I am a qualified investor that has done well with these asset class, taking this away is wrong
