<p>NASD members must make an affirmative determination for all short sales prior to executing the sale (absent an exemption), including short positions not carried overnight.</p>
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EXECUTIVE SUMMARY
On March 24, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 27(g) of the Rules of Fair Practice codifying certain interpretations of the term "branch office."
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Guidance regarding use of related performance information in sales material for private equity funds.
INFORMATIONAL
Limit Order Protection
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Executive Summary
Recently The Nasdaq Stock Market, Inc. (NASDAQ) began permitting market makers and
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Dear Sirs:
I do not think adding additional requirements to the use of leveraged/inverse investments should be used. We have enough regulations now. If an individual wants to use these they already have to agree to various forms required by the brokerage they use.
I don't need to go through any more tests, classes or regulation in my investment decisions.
Let me decide on what I want
I have been investing a long time and have bought individual stocks, bonds, ETFs. I have shorted the Market through ETFs. I realize the risks involved. Currently we are in a period where the major market indices are falling. Now is the perfect time to protect part of your portfolio with an ETF that shorts the market. It is like insurance on your home. The goal is to protect your investment. I
Please require all institutions and bonafide market makers to report their short positions who are subject to 13(f). Real time reporting of short positions would be beneficial as well. SSR rule needs to also account for naked shares. There have been multiple cases of $gme and $amc being shorted on red candles instead of being shorted on green candles when SSR is active.
Please stop this none-sense. Traders are smart enough to read and educate themselves before buying leveraged or inverse ETFs, including myself. If you like to help the traders, here is something much more important you can do: Make our funds available right away after each transaction and/or at least within the hour. In this age of digital fast money, there is absolutely no reason to hold our
