The only people that these restrictions would benefit would be wealthy individuals with inside information. The Pelosi's have enough money. Stop stacking the system against people like me. Oh, by the way ... I vote.
I am a user of the referenced types of funds. I think strong and simple warnings (perhaps enhanced, with some check-off from a user), at most, are adequate to support informed and free choices, and handle the concerns here.
I oppose this rule. This is just another way to protect Wall Street and suppress retail investors. Retail investors have more than enough FREE information and support to understand any investment strategy.
I would like to see all short information to be provided daily. It really puts the retail investor at a huge disadvantage by not having the full picture.
INFORMATIONAL
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The National Association of Securities Dealers, Inc. (NASD®) is working to help make member firms aware of guidelines to begin trading in
Upcoming District Committee and District Nominating Committee Elections
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Attached are copies of notices issued by the Comptroller of the Currency that relate to certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses registered in Majuro, Marshall Islands. Because
All short positions, short interest, and related information should be immediately filed for public disseminating and with penalties for retroactive amendments filed after the end of the period
I'm an individual investor who trades leveraged products and options on an almost daily basis. Leveraged products and options have become the cornerstone of my investment strategy and provide the income stream I need to live on in my retirement. I've spent over 12 years as an active investor and have put the time and effort into learning how such products work using all the
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported
