To whom it may concern, In regards to your proposed rule, I am fully capable of understanding leveraged and inverse funds and their performance characteristics, and I dont want a third party evaluating my capability to do so and potentially preventing me from buying them. I want to state that leveraged and inverse funds are important to me, as they allow me to seek enhanced returns and help me
The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
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Senior Management
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Executive Summary
On November 10, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Interpretive Memorandum 2830-1 (IM-2830-1) to clarify the application of the mutual
Suitability responsibilities of a discount broker/dealer when a customer is trading in options contracts (under former Article III, Section 2, now Rule 2310).
Trade date is the day your order to buy or sell a security is executed; settlement date is the day on which funds and the securities must be delivered. Beginning on May 28, 2024, the new standard for settlement will become the next business day after a trade, or T+1.
Money market funds are mutual funds that invest in assets that are generally easy to convert to cash. Because money market funds are managed with the goal of providing low volatility and principal stability, they’re often used by investors who want a safe place to store their money short term while also earning interest.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to make certain amendments to the NASD Regulation By-Laws in order to change the term of office of members of the National Adjudicatory Council from two years, with the opportunity to serve no more than two consecutive terms, to a single three-year term.
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Rule 1022 (Categories of Principal
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Rule 1032 (Categories of
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Executive Summary
On October
INFORMATIONAL
Limit Order Protection
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Limit Order Protection
Market Making
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Executive Summary
Recently The Nasdaq Stock Market, Inc. (NASDAQ) began permitting market makers and
It is unfortunate that the system must be an "US vs THEM" system, especially when they don't have to play by the same rules that we, the little guy, the 99%, the "dumb money", the "retail investor, has to follow. Things I would like to see changed: -- There needs to be more transparency. We need to be able to see the shorts. We need to see the FTDs. Short positions
