I should be able to invest in the public investments that are available. There should be not any special process like passing a test before I can invest in public securities.
I use leveraged and inverse funds to hedge my portfolio in volatile market. It is very important to me to have the leveraged and inverse funds available to investors like me. I do not want to sell all the stocks in my
I feel strongly that FINRA's proposed rule (#22-08) is incorrectly applies 'investor protection' as FINRA's stated purpose is, specifically with regard to leveraged and inverse products. As a user of such products, were these rules implemented, I would be forced to potentially re-create the same sort of exposure on my own which is a far greater risk to my own
Comments: As a retail trader, I find that L&I funds provide adequate exposure to investment instruments of which I am seeking to trade. Traders exposed to these instruments understand and accept the risks L&I funds provide: understanding whether the fund is optioned short or long and as to how much exposure (1x, 2x, 3x). Utilizing these trading instruments are no different than
Dear Finra,
Leveraged funds are an important part of my investment strategy. Please do not make them difficult to access.
Yes, I understand and think most understand that the daily reset on leveraged funds means that an investor won't automatically earn the multiple of the index.
That said, they are tax efficient relative to futures for those of us who must invest in taxable brokerage
Afternoon,
I was recently notified about some potential regulation that may impact the ability for ordinary people to invest in complex investments, particularly leveraged funds.
This is troubling to me. In the last 5 years I have been studying investment strategies and just recently took the series 65 with the hopes of helping other people with their investment goals. My studies have had a
Warning: Rule #22-08 is currently the subject of a deceptive advertising attack. Let's play "which of these is not like the others": * Target Date Funds * Funds using cryptocurrency futures * Reverse Convertible Notes * Volatility-Linked Funds The answer is "Target Date Funds". I don't use this, I don't intend to use this; but it's an old tool that's
Comments: I do believe having transparency is important. Regulators have done great things in the past to clarify concepts that a layman does not interact with regularly. Thanks to regulators, banks have to disclose APR's with clients, ensuring that the risks are fully understood. However, I feel that this level of scrutiny is unwarranted, biased, exclusionary, and has an unfair impact
Electronic Refiling And Payment Reminders
Form BD Refile- Deadline: Dec. 15, 1999
The Securities and Exchange Commission (SEC) has required all broker/dealers to electronically file new information elicited by the revised Form BD and any information that NASD Regulation was unable to convert to the new Web CRDSM format. (NASD Regulation was able to convert some, but not all, of the broker/
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
