It's up to me to info myself as to what I think is best for my investments, inverse holding are a good way to huge against some losses. Personal liberty requires that all free people have a chose even if it's a mistake. The best think for any agency is to see that the information needed is made available and thats all.
I oppose any restrictions that may unnecessarily eliminate or appropriate restrictions on investments being considered under SEC Proposed Rule #S7-24-15 to the extent that it provides a platform for intuitions to manipulate or gain advantage over retail investors. Free market capitalism should not be compromised by individuals fears or inability to educate oneself in an era of communication and
I am absolutely opposed to regulators choosing what I can/can't invest in for me. These measures do not need to be imposed on the public for their protection - it is a simple overreach of authority/power in an area it is not needed. Make educational materials readily available with updated information that allows people to make educated decisions and treat Americans like free adults instead
IMPORTANT
TO: All NASD Members and Other Interested Persons
ATTN: Compliance and Sales Management Personnel
The NASD has noted that an increasing number of applications for registration have been found to be inaccurate or incomplete when compared with the applicant's disciplinary history contained in the Central Registration Depository (CRD) data base. Examples of inaccurate filings include
SummaryLow-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing
GUIDANCEInvestment Analysis ToolsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementIM-2210-6Investment Analysis ToolsPredictions or ProjectionsExecutive SummaryOn September 28, 2004, the Securities and Exchange Commission (SEC) approved an NASD Interpretative Material (IM) to Rule 2210, designated as IM-2210-6,
In the interest of transparency and fairness to the market. I believe it is important to have regular and accurate information keeping and disclosure to encourage retail market participants into the market. Professional firms already have fast, accurate and bespoke trading software and information systems that provide them with a massive advantage in accurately determining price inefficiencies
3x etfs are fine. Have the exchange do what they already do and inform the investor at the top of the leveraged etf that they can lose their entire investment. Don't make it difficult to buy and hold tqqq long term...its only made me money... swing trading/ daytrading. But people that have held it long have done great.
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
