INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Trading & Market Making
Limit Order Protection
OTCBB
Executive Summary
On February 8, 2001, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD®) Rule 6541 (Rule), which, on a pilot
As an experienced investor and trader I strongly oppose any regulations restricting my ability to freely choose my investing / trading instruments, which include leveraged and inverse funds and etfs, which I use frequently as in important component of my overall investing strategy. I should not have to go through some special process like passing a test before I'm given "permission
Preventing average retail investors like myself from leverge and inverse equities causes both great harm and disadvantage. Prevent the smaller players in the market from maximizing profits and hedging to balance out losses. Doing so would force greater risk trades by leaving investors such as myself with dangerous decisions such as shorting equities which can easily cause greater losses than
Leveraged and inverse funds are important to my investment strategies. They are no different than other basic public stock investments. They further allow me to hedge the risks associated with individual stock purchases. I am fully capable of understanding leveraged and inverse funds and their risks. Once again it appears such rulings are meant to intrude on my ability to freely trade and invest
Leveraged and Inverse funds are important. Big companies are allowed to do it so should the individual investor. My investment firm, TD Ameritrade, was very upfront that the fund I invested in was an inverse fund before I was able to confirm my trade order. Stocks and funds go up in value and go down in value. Individual investors should be allowed AND have the opportunity to invest in whichever
I do not support regulators imposing unnecessary burdens on investors that limit our ability to access publicly traded securities. This is a push from special interests to drive business to them and limit the ability of individuals to make investments as they see fit. Leveraged ETFs are a small part of my portfolio and are used to enhance returns. I am fully aware of the risks of the compounding
Dear regulators; Please refrain from increasing your restrictions on my freedom to play the market any which way I choose. You do not need to know if I'm able to invest in any product, just as you have no right to dictate to another their freedoms. That is called slavery. I trade from time to time in inverse funds as it's the only way I'm able to fight the corruption of you and
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Training
Executive Summary
On July 16, 1993, the Securities and Exchange Commission (SEC) approved an NASD rule change to implement real-time trade reporting for members' over-the-counter transactions in equity securities that were not previously reportable to the NASD in this manner.1 The equity securities
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Trading
Training
Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
