I believe public investments should be made available to the public, and not beheld to arbitrary regulations. This country operates on the principles of life, liberty, and the _pursuit_ of happiness. As such it should be the responsibility of the citizen to gauge the risk of their own assets, not a government imposition to prevent us from trying. As an investor, I am capable of gauging the risk
Dont impose regulations for regulations sake. I know what i am doing with inverse funds and should not have my freedoms trampled on because of uneducated people making uneducated decisions. Investing is at our own risk and we should never be utilizing an instrument or asset we dont understand. We alone are responsible for educating ourselves but the extent of the education you are proposing to
The Credit Risk Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
we need leveraged shorts to hedge positions when markets go through major corrections. please do not remove investors ability to protect their capital. thank you----Claude Saks
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows
The people should have the freedom to choose their own investments. These are very important to peoples investment strategies because you can put up less capital to receive the same return
The SEC has allowed for cryptocurrency futures like BITO to be created. I know the risks. Please let me trade as I see fit with my investment capital. Its a free market.
Investment interests for the public, that correlates to a "We the people," not a we who want to capitalize on the many few.
Let US invest for our public commodity especially for things that are being imported.
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations Managers
Senior Management
Options Exemption
Trading Activity Fee
Discussion In 2003, the Securities and Exchange Commission (SEC) approved amendments to the NASD By-Laws establishing a Trading Activity Fee (TAF).1 Among the covered securities excluded from the TAF are
Anti-Money Laundering
Accuracy of Net Capital Computations
Liquidity
Segregation of Client Assets
Operations Professional Registration
Customer Confirmations
DBAs and Communications with the Public
Best Execution
TRACE Reporting
Market Access Controls
