A committee designated by the Board of Governors, the Uniform Practice Code Committee (the "Committee"), shall have the power to issue interpretations or rulings with respect to the applicability of this Code to situations in which there is no substantial disagreement as to the facts involved in order to make custom, practice, usage, and trading technique in the investment banking and
Members may use the FINRA/Nasdaq Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/Nasdaq Trade Reporting Facility must comply with the Rule 6300A and 7200A Series, as well as all other applicable rules. The&
Members may use the FINRA/NYSE Trade Reporting Facility to report transactions executed otherwise than on an exchange in all NMS stocks as defined in Rule 600(b) of SEC Regulation NMS ("designated securities"). Members that use the FINRA/NYSE Trade Reporting Facility must comply with the Rule 6300B and 7200B Series, as well as all other applicable rules. The Rule&
All I want is FARE TRADING. Please. Open and FARE…
Please. I beg you. We, the public, are not your children. Please stop treating us as such.
If we have funds sufficient to invest, then we have shown that we have sufficient wherewithal to read and understand a contract. Let us.
Several years ago I was granted shares under an Employee Stock Purchase Plan, through eTrade. Upon one grant, I observed that the stock was on an upward run. I sought to
Restricting the trading of complex products is detrimental to all investors and should not be considered. Stop manipulating the market with new restrictions.
Restricting the trading of complex products is detrimental to all investors and should not be considered. Stop manipulating the market with new restrictions.
To further restrict access to complex products would be a mistake. Demanding that brokerages and fiduciaries provide education on how these products work makes sense, but restriction earlier in my investing career actually cost me money. I currently use ETFs, leveraged instruments, and options to limit my risk.
Before starting, I spent hours and hours on educational sites, watching videos, and
Gentlemen: People that enter the investment market MUST understand that this is environment that can make money as well as lose money. If you are not an adult enough to understand this, you should not enter the market. Being an adult brings with it responsibilities. Adults do not need the Federal Government looking after them like children. Your regulations could not only prohibit adults for
I have been investing since 1998. The first time I placed a trade it cost $75 to place the trade over a phone. I don't wish to go back to those days. Nor do I want regulators telling me what I can and can't invest in or require me to pass a test to demonstrate my knowledge. I have invested in both leveraged and inverse funds. Inverse funds are especially useful for hedging.
