There is no reason to outlaw these products further, elimination is not helpful. People should have the ability to trade these products if the marketplace can provide them in a product structure that does what it says it will do. Perhaps warnings are needed, that's fine. But a repeal of already approved products makes no sense.
There is always a winner and a loser in the global equities market and accordingly there is a side to every trade. To enforce that one may not buy certain securities also warrants the same restriction on selling of such securities. In other words - this should not be a notice that will be enforced, as you will be leaving plenty of investors on a figurative island.
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 27, 2020 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading in
Each investment carries its own set of risks. The basis of the free market is the principle that investors must bare the consequences of their investments whether the results are beneficial or detrimental. Providing information of risks is a beneficial service, but trading restrictions could harm smart investors with limited resources.
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Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
No individual or entity should be able to create naked shares to the tune of 200% of the float. Also THE T-35 for fail to deliver Needs to be reduced. To 2 days. Like all trades do. FIX THE RIGGED SYSTEM.
As of 11/16/2021, Jane Street (MPIDs: JSCA and JSEB) is no longer a registered ADF Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF). For any questions, please contact FINRA Business Services at (212) 858-4342.
It's on the diligence of the investor to know what they are investing in. If you believe buying and selling leveraged ETF's is too risky for investors what about regular stocks? Should retail investors take tests to see if they can trade public securities? The market is speculation, there is always risk.
Good morning, I believe this proposal is wrong! People investing should be able to invest in the funds/stocks that they would like. Having more regulations on things like this would help to keep the smaller man down. There should be no reason for someone that understands trading to do as they fell is right for themselves.
