TO: All NASD Members and Other Interested Persons
FROM: Options Committee of the NASD Board of Governors
The June 19, 1987, expiration of index options and futures contracts, in addition to being a quarterly expiration, will be unique in that it will mark the first time that the settlement prices of the various stock indices will not be uniformly based on the closing price, of the
(a) No member shall accept an order from a customer, including foreign customers and/or broker-dealers trading with or through the member, for eligible transactions of such customers that settle in the United States, pursuant to an arrangement whereby payment for securities purchased or delivery of securities sold is to be made to or by an agent of the customer unless all of the following
I would like the right to invest in my best interest - I am a small investor that can only invest small amount of money each week and I find that these inverse funds works perfectly. I don't find them to be anymore volatile than most tech stocks trading on the NASDAQ. I am not a day trader - I buy these inverse funds to hold depending on what I believe the economy will do. I have been
(a) Mandatory Member Participation
(1) Member participation in TRACE for trade reporting purposes is mandatory. Such mandatory participation obligates members to submit transaction reports in TRACE-Eligible Securities in conformity with the Rule 6700 Series.
(2) Participation in TRACE shall be conditioned upon the TRACE Participant's initial and continuing compliance with the following
(a) No member or person associated with a member shall:
(1) coordinate the prices (including quotations), trades or trade reports of such member with any other member or person associated with a member, or any other person;
(2) direct or request another member to alter a price (including a quotation); or
(3) engage, directly or indirectly, in any conduct that threatens, harasses, coerces,
Testimony of FINRA Chairman and CEO, Richard Ketchum, Before the Subcommittee on Securities, Insurance and Investment, United States Senate
I DO NOT agree with regulators desire to restrict retail investors ability to freely trade leveraged investment funds and securities.
Keep out of our trades. The current administration is mafia and you don't give [REDACTED]. Leave us alone
I am against this regulation, as it will waste taxpayers' money on restricting free trade, which is all Wall Street is about.
Hello Please do not restrict trading in these etfs. All rules and regulations are quite clear in terms of risks. Amar
