These types of funds need no additional regulations. Caveat emptor should be the rule of the day. These funds can be incredibly useful to skilled individuals. Don't make this any harder than it needs to be.
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Subpoenas
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to the subpoena rule as set forth in Rule 10322 of
the NASD Code of Arbitration
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Proposed Rule change to Amend the Discovery Guide and to Make
Other Conforming Changes to Rules in the Arbitration Codes
Would like rules to be changed so shorts wouod have to report more frequently.
1. More visibility need in to short sellers 2. Punishment for breaking/violating rules need to be more severe.
Please modify the rules to make short interest and FTD's more transparent, and the reporting of immediately.
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change Relating to the Series 28 Examination Program
Proposed Rule Change Relating to the Series 27 Examination Program
