Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
Individual investors should have available opportunities to invest like professionals without being subject to severe limitations. Being able to invest in leveraged and inverse securities is important to avoid margin or shorting requirements in a negative trending market.
Comments: As a retail trader, I find that L&I funds provide adequate exposure to investment instruments of which I am seeking to trade. Traders exposed to these instruments understand and accept the risks L&I funds provide: understanding whether the fund is optioned short or long and as to how much exposure (1x, 2x, 3x). Utilizing these trading instruments are no different than
I am a 24 year old investing for the long term and have faith in our economy moving forward, if you can short stocks, why cant you double down on pro shares. Please let us invest!
This suggestion to restrict is UnAmerican and is counter-productive. The ETFs make it easy to go long or short the markets just like the big companies and billionaires do.
You should not discriminate against individuals, that is illegal.
Thank you for considering an alternative view.
Please leave leverage ETF do not ban them Please just been using margin options and short selling and make broker dealers have their clients do a course on it to see if theyre competent enough investing in them
Common investors should be allowed to short and go long on the market. By not allowing the common investor to buy these instruments you are only allowing only the professional investors to make money off the common investor. Allow a level playing field!
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
I manage my IRA in a Schwab account and without the ability to short utilize inverse ETF's to help hedge in this bearish environment. I have been trading for a number of years and am aware of the risk of leveraged ETF's and stick with single leverage products.
I would like more frequent public reporting of short positions and more detail in public reports. I’m very worried about my personal investments being manipulated with this lack of transparency.
