SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
How about you just make this a simple thing... Instead of financial institutions SELF-REPORTING their short positions, why not actually have a regulatory body go directly into their books, so they can properly extrapolate the information. This way you can monitor things like married puts/calls that create synthetic shorts, and be on top of them on a daily basis.
The only way to have a trust worthy financial market is through transparency and having a better understanding of what short positions exist and the data involved with them only seems the logical answer. Currently it’s a portion of the market that seems shrouded in mystery. That doesn’t make me want to invest; if anything it has made me shy away.
Data transparency is the hallmark of reliability, responsibility, and accountability. As such, all information about short sale positions, short interest, etc. should be publicly and freely available in real time immediately. Failing that, as soon as possible - which, given the electronic nature of these transactions, ought to be virtually immediately. Anything less increases corruption,
Comments: FREEDOM TO CHOOSE should be the norm. in the market any and all financial products have risk embedded. the ONLY way a trader can make use of those products in a limited risk situation is by having correct and updated information that is really understandable to most, specially pointing extreme risk situations and by educating himself on how to handle risk with those products. so, my
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Options
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Executive Summary
Through this Notice, NASD Regulation, Inc. (NASD RegulationSM) is establishing an interpretation that National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3) options position limits apply with respect to options transactions that are intermediated
I feel strongly that I should not have to prove to anyone that I am capable of choosing my own investments. Such a restriction would prevent me from using inverse ETFs to hedge during downtrends in the market (such as we are currently experiencing) and also prevent me from taking advantage of downtrends in the market. Cooling off periods may expose me to a complete inability to protect my money
I am a public investor, I opposed restrictions to my right to invest in leveraged and inverse funds because: - Public investments should be available to all of the public, not just the privileged, I am not a regulator, I am one of the public, so I should have the right being able to choose any public investments; - I understand leveraged and inverse funds and their risks, I should not have to go
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to January 26, 2022, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15,
Summary
FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.
The amended
