I vehemently oppose restrictions from Regulators such as FINRA whom I consider bureaucrats to limit my ability to invest in Leveraged ETFs. I have utilized 3X Leveraged ETFs for over a decade with tremendous success that has enabled me to amass millions in capital gains and has allowed me to retire comfortably. I do not want an investment "nanny" to tell me how I want to
I am vehemently opposed to restrictions on my right to invest in leveraged instruments. These leverage instruments help to hedge my portfolio. These restrictions are contrary to open markets and capitalism. It should be up to the investor to research and understand risks and not the nanny state! The investor and not the regulator should be the one to determine what kind of investment is right
I oppose the legislation in the proposed rule #S7-24-15. I like the ability to invest in leveraged funds, specifically SQQQ. When the market indicators show that the markets, in this case the Nasdaq Composite, is going to go through a contraction, funds like SQQQ allow me to realize a greater return with less capital. Funds such as SQQQ help level the playing field for other investors that do not
SUGGESTED ROUTING
Senior Management
Legal & Compliance
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ABAG.GA
Safety Componets Intl Inc
10.125
07/15/07
ALGX.GA
Allegiance Telecom Inc
11.750
02/15/08
AMH.
Melvin Capital complaint - lack of reporting regarding naked short positions leading to chart manipulation through darkpools. I hope something is done about behavior indicative of intentional malevolent chart manipulation by hedge funds developing bad risk analysis putting the broader markets in jeopardy by aggressively naked shorting stock with little regard for who's money they are putting
FINRA has made a number of changes in the area of regulatory policy to improve the policy development process and better ensure that our rules reflect current industry dynamics.
Retrospective Rule Review
Qualification Exam Restructuring
Capital Raising
Options trading carries risk and requires specific approval from an investor’s brokerage firm.
I am president of Liberty Capital Investment. We are a small BD with 5 reps. We often buy bonds from 3rd party vendors. We find our clients can get prices by using an outside vendor like Muni Center versus buying from out correspondent inventory. Filling these orders often takes 10 to fifteen minutes to report. In the interest of best client price I remain firmly in favor of keeping the 15 minute
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
