Leveraged exchange traded funds (ETFs) play a useful role in my investment strategy. The way I use them, they are no more risky than individual stocks, and they are less risky than some other investment vehicles such as futures contracts. Please do not prohibit individual investors from using leveraged ETFs.
I disagree with the idea that these leveraged/inverse funds should be disallowed for purchase by individual investors. The risks are reasonably well-known and the information about them is available for anyone to read. The fund which I am invested in allows me to hedge my portfolio in a way that would not be possible without it. Please allow me to continue to trade these funds.
Stay out of individual investor decisions please. These are important tools for investors that are not high net worth for hedging and trading. Yes, go ahead and require people to read and understand how they work and the risk but do not restrict access. It's tough enough as it is to compete with wall st and high net worth investors.
REQUEST FOR COMMENT
Trading Activity Fee
Comment Period Expires October 31, 2005
SUGGESTED ROUTING
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Legal and Compliance
Operations Managers
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NASD By-Laws
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members on possible changes to the Trading Activity Fee (TAF). In
2003, the Securities and Exchange
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
GUIDANCE
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Fixed Income
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Mark-Ups
Debt Securities
Rule 2440
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Mark-Ups on Debt Securities
Executive Summary
On April 16, 2007, the Securities and Exchange Commission (SEC) approved IM-2440-2, "Additional Mark-Up Policy for Transactions
Comment on Short Interest Position Reporting Enhancements; there needs to be a STOP to borrowing/manipulating stocks through Dark Pool trading. Market Makers should NOT be allowed to sell shares that do not exist. Allowing such fraudulent practices violates the law of Supply and Demand.
I hope there’s a fair trading and fair market for everyone! Not just for institutions but also for retail. I hope the market manipulation will be soon be over! Retails and individuals are much suffers with this kind of market. We all deserve a fair and transparent market for EVERYONE
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
What I have witnessed over the past year or so that is going on with stock $GME and $AMC is on a whole different scale. I was new to trading until I got involved signing up with RobinHood earlier in 2020. During that time I wanted to buy in to $GME and was blocked from doing so "for my own protection." essentially missing out on hundreds of dollars or more. I have seen unknown entities
