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.
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
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.
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
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.
IMPORTANT
Officers * Partners * Proprietors Operations and P&S Department Managers
TO: ALL NASD Members
In its Notice to Members 84-55 dated October 15, 1984, the Association announced plans to implement a NASDAQ Equity Audit Trail and detailed the seven phases to be followed for completion of the plan. As described in that notice, Phase I involves the collection of additional
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 12, 1990. On Monday, November 12, the NASDAQ system and the
I often use leveraged and inverse funds to make directional trades in the stock market. I also use these types of funds to hedge other investments in my account. I understand the risks associated with them and hope that additional regulations will not be added that would limit my access to these types of funds.
I oppose any proposal to limit my freedom to invest in leveraged and/or inverse funds. I fully understand these investments and use them to hedge my portfolio risks. I do not see any need for forcing me to go through a special process in order to trade these instruments.
