This data provides comprehensive information on Asset-Backed Securities. An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. Published for non-commerical use.
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. FINRA and its
It is an outrage that FINRA is considering limiting these powerful wealth building tools for non-high-net worth individuals. Leveraged Funds have provided some of the most attractive returns over the past ten years, and will almost certainly continue to provide attractive returns as long as global capital markets continue their long bull runs.
These tools maybe be incorrectly used by uneducated,
Dear FINRA, 5-6-22
I am a private investor who has been investing in the markets for the last 40 years, and have been successful using inverse funds, to include SH, PSQ, DOG to hedge against volatility, and frequent downturns in the markets. I do not think any regulator will be able to know more than I do about my own families personal financial situation. Passing a test first, seems
I am deeply disturbed by the proposed regulation limiting access to leveraged and inverse ETFs (which are publicly-traded securities) to those with high net worth who pass a specialized regulatory exam and then jump through a series of administrative and timing-related hoops.
Leveraged and inverse ETFs are one of the few methods that the little guy has in order to protect his or her investments
Hello, In regards to the Regulatory Notice issued by the Financial Industry Regulatory Authority (FINRA) on March 8, 2022, I would like to express my concern as to the potential limits this rule will impose on some investors for buying and selling of the leveraged and inverse funds or other products deemed to be complex in nature. I regularly use these products as a focal point of my trading
Hi, I am writing to ask you to NOT limit my ability to freely invest in any type of public securities. I'm an individual investor and I've been investing and trading securities of all kinds for the past 10 years. Im an active learner and constantly educate myself about opportunities and associated risks. I have paid-subscriptions to several investment advisors. I make informed decisions
INFORMATIONAL
Erroneous Complaint Procedures
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Clearly Erroneous Complaint Procedures
NASD Rule 11890
Executive Summary
The purpose of this Notice is to reiterate the procedures for filing complaints under the National Association of
Regarding L&I funds and potentially restricting access to them... I would oppose any such move.
Firstly, my current brokers (TDAmeritrade, E*Trade Financial, and Charles Schwab & Co, Inc) all provide me with ample educational materials online at no charge which informs me of the risks and limitations involved in trading L&I products, namely, they are intended
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1997, tier sizes for 537 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
Under Rule 4710, the maximum Small Order Execution
