On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
Limiting citizens ability to trade leveraged funds, commodity funds, REITs and various other financial instruments is a direct attack on the citizenry and should be unconditional. This would be a hindrance on financial freedom in what is a world where opportunities and social mobility is increasingly hard to find. As a broker and US citizen, I vehemently oppose such a rule and think those who
This is yet another example in a countless list of rules for thee but not for me. Regulations like these continue to protect the upper class, while keeping the little guy down. Every American should have the same opportunities, not based upon some income threshold. If you truly care about lifting Americans up, as you say you do, you will not pass this legislation.
Respected Regulators, Leveraged and inverse ETFs help me hedge my portfolio and I would really appreciate if you don't impose any rules such as passing a test before investing in such ETFs. Investors understand the risks these risks since the information is widely available. I would really appreciate if you let investors choose what works best for them. Thank you!
I am writing to comment against passage of proposed rule #S7-24-15. As a retiree the use of inverse and leveraged funds are important vehicles for managing risk to my retirement. They provide diversification that is not available in any other products. I do not need to be protected from using these products. Indeed if these products had not been available to me my retirement portfolio would be
Please make sure that the fines are enough to deter these predatory short sellers. If the fine is only minimal compared to the gain then people will continue to abuse the rule. Also a locate should always be required before a share is borrowed. It seems shares are being loaned out and not located.
ENFORCEMENT!!! You can make all the rules in the world but until they are enforced they do no good. And when you do enforce the punishment needs to fit, those guys laugh at the piddly fines they're given! Close the loopholes, SSR is useless and darkpools need to go!
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject
In a request for interpretive guidance, a member asks if NASD Rules prohibit a member from paying finders or referral fees to CPAs that are not registered as associated persons.
