I've been using leveraged products with great success for many years. At times I lose money and most of the time I make money. I absolutely know the pros and cons of using leverage. Please don't limit my ability to build my assets by prohibiting my access to these products.
Current regs and brokerage notifications are adequate for protection of retail investors using inverse and leveraged funds. These types of funds are straight forward and valuable additions for asset allocation, especially for down market protection. There is no need or justification for stricter controls on these investment options and certainly no reason to outlaw these funds.
Here's why I believe that leveraged and inverse funds are useful for risk-adverse investors. Investing a small percentage of a portfolio in these types of investments can reduce the risk of the total portfolio because they move inversely to typical asset classes and a small amount can provide a large amount of diversification and risk-reduction.
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThe purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Executive Summary
On February 21, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) an amendment to NASD ® Conduct Rule 2340 to regulate the disclosure of values for unlisted and illiquid direct participation program (DPP) and
REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
SUGGESTED ROUTING
Senior Management
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Institutional
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As of February 23, 1995, the following 41 issues joined the Nasdaq National Market, bringing the total number of issues to 3,742:
Symbol
Company
Entry Date
SOES Execution Level
ATVI
Activision, Inc.
1/27/95
200
DZTK
Daisytek International
What happened to capitalism???
(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
FINRA Requests Comment on TRACE Dissemination Issues
