<p>NASD Rules 6950-6957 (OATS)</p>Clarification of application of the OATS rules.
FINRA offers parties in active arbitration cases free or low-cost telephone mediation with initial claim amounts of $50,000 or less.
Term
Description
Exceptions Periods
Date of all listed options position, as reported.
Total Number of Exceptions
Total number of issues reported during the period.
Large Options Positions Reported (LOPR) - Listed Detail Data
Term
Description
Position Date
The position date
This is my second letter to you. We dont need more government regulation on investing. I am a small investor with an IRA. I have a small amount to invest outside of the IRA. However I choose not to invest that money because capital gains tax would eat up any profit. If you want to help the small investor then give us a $10,000 exemption for short and long term capital gains tax in each tax year.
My main focus is on both leveraged and non-levered index ETF's for the DOW, Nasdaq and S&amp;P, both long and inverse. I feel more comfortable investing in the market as a whole as opposed to individual stocks. They also allow me to protect my IRA on downturns as I am not allowed to short individual stocks and would find that far riskier. Please reconsider your proposed changes.
I am 74 years old and have the majority of my assets under mgt. with two different styled advisors. I have invested in Pro Shares Short S &amp; P 500 ETF for two small accounts (which I oversee) in a very limited and disciplined approach to offset the economic problems caused by the current administration in Washington. I understand the risk, but given the current market conditions,
The ability to invest in leveraged securities as part of a well balanced portfolio is needed. To restrict this to retail investors is absurd. I should be able to invest in what I want to invest in as a right!
I use leveraged equities to hedge investments for protections. And it has been helpful to offset volatility in the market. I dont have millions to invest but when I look for products
I have been trading 3x leveraged and inverse ETF's for many years because it allows me to go long or short without having to open a margin account. It's no different than trading any unleveraged stock, as long as you just divide your investment dollars by 2 or 3 depending on the leverage multiple. Please don't add any restrictions. It works great the way it is, and it allows people
I oppose proposed restrictions to inverse and leveraged ETFS. The reason for my opposition is that they are useful tools for hedging and as well for magnified short term gains. If there is a particular sector, underlying commodity, or index that I want exposure to, these products help me meet my objectives and help me formulate strategies to meet the objectives i have laid out for myself. I
I use funds like FAZ, SDS, and SQQQ as portfolio insurance to mitigate the wild market gyrations we have witnessed in 2008/2009, 2020, and even right now(?). Using funds like these I can achieve strong upsides in a down market while my losses are limited to what I have invested. Instead, regulate the program selling, the short selling, the futures market where I could lose far more than my
