SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,900:
Symbol
Company
Date
SOES Execution Level
TDSRF
3-D Systems, Inc. (Rts)
5/27/92
1000
MSYSW
Medical Technology
In the United States, each individual should and have the right to be responsible for ones own decisions regarding his/her own life matters, including ones assets and possessions. Everyone ought to be able to invest in all public securities, since they are to the public. Diversify ones portfolio is a balanced way to invest. Leveraged and inverse funds are part of the vehicles to diversity, which
FINRA,
I am strongly opposed to regulations being considered to limit the ability of the public to invest in leveraged and inverse funds without such things as passing tests on investment knowledge, demonstrating high net worth, getting approval from a broker, attesting to reading certain materials, and going through "cooling off periods" during which one cannot invest.
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
Free market capitalism is important and leveraged,inverse funds should not be over regulated by politics.
To whom it may concern, I am an individual investor with no special expertise in financial markets or their regulation. However, I am a scientist who performs a lot of data analysis, statistics and machine learning for my profession, and therefore I believe I have more than enough expertise to analyze financial data that is available. In order for informed decisions to be made, whether in finance
The most effective form of government is the government that governs the least. With every additional bit of regulation, the regulations that matter become more diluted. Tread lightly, choose wisely ladies and gentlemen, especially when it comes to telling the populus where and how it may utilize it's monetary assets. If you didn't put in the work to acquire the earnings, how
Dear Sirs/Madams:
I object very strongly to any FINRA regulation which would limit my freedom to choose my own investment tools to manage my own assets. I have been an investment professional for more than 60 years and fully understand the risks of inverse and/or leveraged ETFs which I use as a hedge against market risk.
John M. Bruderman Jr., CFA charter 1841
Inverse funds are a great option to hedge against other family assets and liabilities. We utilized ProShares UltraShort 7-10 Year Treasury to hedge against rising interest rates for debt that needs to be refinanced in the near future. This was a well thought out and planned strategy, that has worked perfectly. Once the debt is refinanced we would look to liquidate the ProShares UltraShort 7-10
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 19, 1987, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,893. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
