SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
Effective February 1, 1993, market makers in Nasdaq Small-Cap MarketSM securities had to display size in their quotations of at least 500 shares, unless the issues are priced at $10 or more and trade less than 1,000 shares per day. Those issues will remain at the 100 share-display requirement. The
For a market to be free and fair all information on a tradeable asset must be disclosed. These updated rules protect all parties but particularly retail investors like myself who do not have access to the same data set as large firms. I support these rule changes, a more transparent market would benefit current investors and protect the confidence of future investors in the US stock market.
I think when it comes to FTD's and naked shorting that the fines and punishments should be much more than what the companies failing are making in profit. These companies should be held accountable and have assets liquidated if they do not cover FTD's. Settlement periods should be removed. It shouldn't be a T+2 system. How is it fair to the retail investor when it dates days for us
Member ceasing to offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to an affiliated broker-dealer.
I believe that most people who do choose to invest in these funds are aware of the risks and do their own homework before they start investing. While I do believe that offering education on the risks, as well as risk mitigation strategies, would be beneficial for traders, I do not believe that extra layers of bureaucracy and testing will create better or safer traders, and will simply reduce the
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.
Worldwide, cloud computing has enjoyed rapid
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of May 22, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
HSRS.GB
HS Resources Inc
9.250
11/15/06
HYPT.GA
Hyperion Telecomm Inc
13.000
4/15/03
I strongly oppose restrictions on my right to invest in publicly traded securities, including leveraged instruments both bullish and bearish. I take the time to understand the risks of these funds, and limit my exposure accordingly.
Leveraged funds are an important part of my portfolio management. During adverse market conditions I use inverse funds for hedging; for multiple reasons I don&#
The existing investment instruction and terms are sufficient. People at legel age are able to consider rationally and independently if they can bear the risks. It is unreasonable to ask people do tests especially there are a large group of people already has experience of investing leveraged and inverse ETF products, not to mention how unfair it is to restrain investment activities by how much
I'm troubled to learn that my access to invest in leveraged funds me be significantly hindered, if not outright prohibited. Those who are investing directly in the market can see for themselves how certain assets are performing and can put protections in place to guard against significant losses. It should be up to the the investor, not a bureaucrat what risks he or she wants to take. Please
