No reason to penalize everyone for a few bad apples. I use inverse ETF's during times when the stock market is going down to balance out (hedge against) losses and so I can hold on to my winners. If the inverse ETF's are subject to special processes beyond the usual rules for all stocks, this would be unfair.
I should be able to choose my own investments without an added burden of the new rules you are considering. My broker already has my investment background and experience, so no federal survey is needed. A test is an especially onerous requirement. It is already clear when purchasing a leveraged or inverse fund what the risks are.
Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale.
It is more than obvious that several agencies are not complying with the rules for naked shorts and FTD's. Retail investors should have the same real time information as hedge funds to include short interest and real time trading.
Request to ban naked short selling and to implement rules that curb it (e.g., T-0). Increase transparency of market makers. Follow in other countries' footsteps in bringing criminal charges and impactful fines ($1B+) against violaters.
A networking arrangement between a broker/dealer and a licensed insurance agency in which the non-member insurance agency receives commission payments is not subject to Rule 2420 if the arrangement is undertaken in reliance on an SEC no-action position on the registration requirements of the insurance agency as a result of the arrangement.
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
Staff clarification of <em>NASD Notice to Members 96-60</em> regarding a member's suitability obligation under NASD Rule 2310 with respect to certain investment company transactions.
Use Of National Association Of Securities Dealers, Inc., Parent And Subsidiary Logos
In response to recent requests from member firms to use one of the corporate logo icons (logos) on their Web pages to indicate a link to one of the three corporate Web sites, this FYI is being issued to clarify the position of NASD Regulation, Inc. (NASD Regulation), the National Association of Securities
Comments: Hello: I have used leveraged ETFs in my account for many years. It is a small portion of my total investment account. It has been by far the most profitable area for me for many years. Please do not regulate and add new rules forthe use of leveraged ETFS. Thank you. Chris Vig
