TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 20, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,091. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities. That is why we have certified financial consultants/brokers. I am capable of understanding my investments
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
As an individual investor who has invested in complex instruments for years, I am opposed to these regulatory controls. They are over-reach by the government on the assumption that people are stupid and should be ruled rather than have the freedoms. The barrier to these instruments will not only create obstacle for investment, it will dramatically increase the cost to access these instruments as
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
I am generally of the opinion that leveraged ETFs, like Options, are not appropriate for most investors. While I would support these being available in accounts marked "Aggressive Growth" or "Trading" for account objective, their inclusion in retirement account like IRAs should be restricted due to the extreme potential for volatility. I am also of the opinion that these
It is my money and only I should have the right to choose which investments I pursue. I am fully aware of the investment risks. That's why prospectuses are available. Additionally, these type of inverse and leveraged funds are excellent tools to hedge portfolios which all funds may not be held at one firm.
Stay out of my financial affairs. Having over thirty years of investment
the system right now is set up for me perfectly since I am a inverse trader. it is a trading system I use instead of shorting stocks which if I had to like most inverse traders would defiantly do along with day trading which in my opinion would cause havoc on quality stocks and the market and also would cause a lot of traders to go into options were a lot of traders would get hurt financially. I
Once again, I am here from the government and I am here to help you, is big government at its worst. The only people who will benefit from this proposed rule are the market makers and professional investors who already have an edge in the financial markets. Instead of wasting your time telling people you do not think they are as smart as you are, how about taking equal time to do something about
