(a) Position Limits
Except with the prior written approval of FINRA pursuant to the Rule 9600 Series for good cause shown, no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof, or for the account of any customer, a purchase or sale transaction in an index warrant listed on a national securities
For some of us who are young and do not have the financial means to invest meaningfully in the stock market, it is imperative to have access to leverage to smooth out the amount of investable assets throughout our lifetime. If, for example, a recession were to occur shortly before my retirement, when my earnings potential is highest and I likely have the most amount of money invested, I would be
regarding the potential further restriction of leveraged ETFs : an investor does not him/herself borrow money to invest in a leveraged ETF, they simply buy it as they would any other security like a stock or bond. I personally invest in leveraged ETFs that track broad indices such as the S&P 500. Although these will be volatile, as they are levered, it is HIGHLY unlikely that they'd
I Oppose Restrictions To My Right to Invest in Complex Products, including Leveraged and Inverse funds! Any attempt to impose restrictions on the individuals right to buy these trading instruments gives the large trading firms an unfair advantage and makes the market unfair to us. Large firms have resources to use trading programs and other trading tools which individual investors do not have.
Taking away investor rights to risk management assets like leveraged and inverse funds is robbing investors of income and simple tools which can only be emulated with complex options transactions if at all. Such regulation Hurts Investors: It could potentially deny us the freedom to choose investments that could help us achieve long-term financial security. Is Arbitrary and Unworkable: FINRAs
I appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both
I appreciate many of the actions that are listed. Requiring funds to post their short positions (whether synthetic or other) should absolutely be mandatory. The lack of transparency only creates opportunities for these funds to create illusionary positions and to skirt regulatory requirements. The greater the transparency these funds are required to maintain the greater the benefit to both
As a part of FINRA’s security enhancements, we are changing SFTP server's SSH Ciphers and Algorithms. What this means for you:All users who transfer files via the fileX SFTP must update their configurations to use the newly supported SSH Ciphers and Algorithms. Failure to do so will result in an inability to access the fileX application via SFTP.What's not affected:There is no
Module 3: Security Futures explains the characteristics and elements of security futures.
When it comes to retirement savings, even the most adventurous seniors may consider something routinely described as "plain vanilla": a fixed immediate annuity. With an immediate annuity, the investor pays an insurance company a lump sum in exchange for regular income payments. Both fixed and variable immediate annuities deliver income quickly, but there are differences.
