SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 21, 1998,
A firm’s journey to the cloud varied based on a given firm’s specific facts and circumstances. Several firms noted that cloud migration was not a simple, linear process, even with adequate preparation, and there was no easy formulaic way to conduct a migration, given the unique circumstances of each firm. Despite the difference in each firm’s journey, however, some common themes emerged regarding
I run a systematic investment plan where leveraged ETFs are the key component. These funds are extremely important to my investment plan and have provided me with improved performance over the long term compared to standard market measures. I fully understand the leveraged effect the funds and use it in a responsible manner to my advantage. I do not want or need a third party evaluating my
For the period of 6/1/2025 through 6/30/2025AARQ SECURITIESARQ SECURITIESNAME CHANGED TO: LIQUIDITY.IO, LLCARQ SECURITIESLIQUIDITY.IO, LLCNEW NAME OF: ARQ SECURITIESBBLUE QUARTZ INVEBLUE QUARTZ INVESTMENTS6424 DASH POINT BLVD NE, TACOMA, WA 98422ADMITTEDBRIDGEWAY SECURIBRIDGEWAY SECURITIES1 CHISHOLM TRAIL RD, SUITE 450, ROUND ROCK, TX 78681ADMITTEDCCAPTIVEX SECURITCAPTIVEX SECURITIES LLC67 HOLLY
FINRA needs to crack down on naked short selling and price manipulation. I'm sure FINRA already knows these tactics but why they are not enforced really boggles my mind. If the fine is a fraction of the amount earned on these illegal tactics, then it's just a cost of doing business. They are hurting the entire market and putting everyone at risk.
Remarks from the Bond Dealers Association Annual Conference
Dear Financial Representative, I do NOT want trading on the TQQQs and other leveraged funds to be regulated. I believe investors should have the right to trade public investments without restrictions. I am an experienced and frequent trader who uses this avenue exclusively to build weath within a portion of my overall portfolio. The volatility inherent in leveraged funds is the key to success in
FINRA,
Its incumbent upon any investor who so chooses to invest in public securities, to first conduct their own due diligence by researching and becoming informed concerning the potential gains/losses that may be incurred. Therefore I do not feel it is necessary for additional regulations that would curtail, impede or prevent the publics access to their investing pursuits. Understanding the
Dear Sirs: I am writing to express my opinion that existing investor access to leveraged ETFs should be maintained. These investments are straightforward (leverage 1X, 2X, 3X, etc.) and every investor must understand that risk is inherent with these investments. As with any other investment. I consider leveraged ETFs to be much less risky than US traded Chinese stocks. The Chinese Variable
It is very important that I as an investor have the right to freely access the entirety of the public securities markets without arbitrary restrictions. It is my freedom to choose the investments that I believe will achieve long-term financial security. The definition of "complex products" is broad and vague. I am capable of understanding leverages and inverse funds and their
