I fully support this effort to improve short interest enhancements. When bad actors are allowed to create a synthetic share out of thin air through dishonesty and illegal activity, they pose the potential to put the entire financial system at risk. If "market makers" are allowed to break rules, including the creation of millions of fake shares, they are given the power to destroy
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) is adopting final rule amendments to the Bank Secrecy Act (BSA) effective January 1, 1996. In two separate actions, Treasury is making changes that will facilitate tracing funds through the wire-transfer process. One rule
For any public offering that is required to be filed pursuant to FINRA Rule 5110(a)(2), FINRA Rule 5110(a)(3)(A) describes that the required documents and information must be filed by participating members with FINRA no later than three business days after any documents are filed with or submitted to the SEC, including confidential filings or submissions, or any state securities commission or
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
I oppose restrictions to my right to invest, including my right to invest on leveraged and inverse funds. I should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like
Please do not remove the ability for me to trade leveraged funds. I am aware of the risks involved and am willing to take those risks for the potential gains. I shouldn't have to pass a test or have a certain amount of money or go through any other process to be able to trade these funds. I do not need the government to tell me how to do my investing! Thank you.
I am an educated investor with the ability to research and understand "complex" investment vehicles such as leveraged and inverse funds. I do not need to take additional tests, or have a minimum portfolio to purchase these public investments. Over the years, leveraged funds have substantially increased my performance and will allow me and my family to have a more secure
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
I oppose big government restrictions to my right and ability to invest in ETFs. I should not be required by big government to take a test or satisfy other unnecessary requirements before I invest. I have been investing in leveraged ETFs for more than 13 years and am extremely happy with my results and my returns. I don't need government to tell me how to invest in leveraged ETFs.
