Hello, First of all any rule changes should effect at least after 12 months (maybe 24 months) to be fair for the investors. We are using these funds generally to protect (hedge) our investment or sometimes to gain in a short time. We know the risk of the any investment which we are investing. So, actually/generally I oppose restrictions on my right to invest in public investments. Rules should
Hi, I oppose the SEC Proposed Rule #S7-24-15. I feel this rule would only serve to further divide the wealth gap that already exists in this counrtry, as it would make it more difficult for investors such as myself, with a lower net worth, to take advantage of leveraged funds in order to enhance capital gains. While I certainly don't think it would be wise or safe for any investor to insvest
The proposed rule will negatively impact many investors that don't meet the qualifications. The rule will only benefit the wealthy. Making qualifications on how people can spend their own money benefits only the rich and opens up channels of discrimination. I currently use a 3x leveraged inverse fund to hedge my portfolio. If the "demonstrate high net worth" is the same as the day
The sale of a call option and purchase of a put option with the same expiration date and strike price provides equivalent exposure to the price of a stock as a short sale. Despite this equivalence, this synthetic position does not currently create a short position that would be reportable under the current version of Rule 4560. The extent of use of this and other types of synthetic short
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
In Notice to Members 87-25, dated April 14, 1987, the NASD requested comments and suggestions on the concept of a rule that would restrict broker-dealers affiliated with issuers from making markets or trading in the securities of those issuers.
The NASD's request was the result of concerns as to whether conflicts of
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Legal & Compliance
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Training
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MAIL VOTE
EXECUTIVE SUMMARY
The membership is requested to vote on an amendment to a Rule of Fair Practice that the membership voted to approve last year (Notice to Members 89-20). The
In order to achieve a true “ free market” system, retail traders must be provided with total transparency. There are seemingly endless ways for institutions and hedge funds to have the advantage, whether it be access to data, rule loopholes, or seemingly smoke and mirror processes. SSR is a total fabrication, as there are countless ways to achieve shorting while the ruling is in place. It is
This should not be a rule. Regulators should NOT be able to choose the investments that are right for me! I should not be restricted as to what is available to me.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt a schedule of fees and credits for The Trade Reporting Facility LLC (the "NASD/Nasdaq TRF") established by NASD and The Nasdaq Stock Market, Inc. ("Nasdaq").
The Net Capital section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
