TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 14, the National Market System will include 789 securities as 50 more NASDAQ securities are phased into the System. (A week earlier, 12 mandatory designations will join NMS).
These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we look at the overlapping risks of AML and cybersecurity.
I have been investing in TQQQ for 5 years now. I use a quarterly rebalancing method that has benefitted from TQQQ's high degree of volatility. When it is high, I sell off a portion. When it is low, I buy more shares with the money set aside in bond funds for this purpose. I understand the risks associated with this product and trade accordingly. I recognize the possibility of losing
I have been investing in these types of securities for a very long time especially if closed end funds are included in the list, it has been well over 20 years and I already understand the risks and have ridden through the crash of 1987, the tech bubble, crash of 2008-2009, etc.
I think these types of investments (leveraged funds, etc.) should not be any more regulated than they currently are
I oppose any restriction on individual investors use of inverse or leveraged ETFs. I personally have used inverse and leveraged ETFs to protect myself during periods of market volatility as a means to limit my downside risk while keeping invested in the market. I except to lose a certain amount of money on these instruments in many instances but accept that cost because of the downsides of
Give your standard disclosures. Bring back the short sale rule! Keep the auto close for severe drops on the indexes. Go after the cook the book companies, and the insider trading crooks but do not deny the independent traders,investors or institutional financial firms the ability to hedge or out gain the standard index. The great thing about the United States is that one can take risk to possibly
I hope this letter finds you well! Thank you for taking the time to consider retail investor's side of the disturbing issue that has recently been brought to my attention.
Securities such as SQQQ and TQQQ among many other leveraged and inverse funds should not be restricted from trading or limited to only a select group of traders. The financial system is already leveraged in favor of
I have been using Leveraged ETFs for years as part of my family's overall wealth building and management plan.
There is no reason for government regulation and limitations to be placed on these instruments, as they are an important tool in helping meet financial goals.
These are publicly traded funds that provide powerful boosts to performance for personal investors at a reasonable cost
An individual should be able to make their own choices regarding what their risk tolerance is and what investment vehicles they choose. Leveraged/Inverse funds are only a small portion of my portfolio. I use this type of an investment as a hedge to protect the rest of my portfolio as well as enhance my overall returns. Over the last 50 years that I have had an active portfolio of investments,
I Request FINRA to Please allow everyone to access these products. Many people use these products sensibly by allocating a small portion of their net-worths. It is not fair to allow only certain individuals to access these products, while restricting everyone else. One could buy a stock which could go to zero, is that not an unsafe / complex investment? How do you define complexity? Buying AAPL
