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The NASD will observe the following holiday schedule for 1994:
February 21
Presidents' Day
April 1
Good Friday
May 30
Memorial Day
July 4
Independence Day
September 5
Labor Day
November 24
Thanksgiving Day
December 26
Christmas Day (Observance)
Note: The NASD and The
The latest edition of the OATS Reporting Technical Specifications dated July 31, 2020 is now available.
This edition includes updates related to:
The delayed onboarding of the Long-Term Stock Exchange for Exchange Route Matching. Specifically, the Market Center ID related to the LTSE was revised to “XL”, a change from what was specified in the previous Technical
As a self-regulatory conglomerate it is beyond the reasoning of a "retail" investor as to why such ordinances do not already exist. The SEC itself has proclaimed naked-short selling to be a well established predatory and dangerous practice that undermines the free-market operations of millions of non-institutional investors who cannot play by the same rules. In addition to the
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to establish Interpretive Material 1013-1 (“IM-1013-1”), a membership waive-in process for certain New York Stock Exchange (“NYSE”) member organizations, and Interpretive Material Section 4(e) to Schedule A of the By-Laws, a membership application fee waiver for those NYSE member
Any proposal to limit an investors ability to purchase inverse funds would not be well received and obviously ill-timed given market conditions. Every investment contains risk and a regulatory authority should not posses the authority to restrict an investors ability to use products such as these that can actually mitigate risk in one's overall portfolio. If such rules are implemented,
I am a private citizen and individual investor concerned about limits on leveraged and inverse. These funds are an important tool for me as they present another method of limited exposure to leverage with less downside risk than many other leveraged strategies. They are an extremely important part of my strategy as they allow for amplification of strategies that take advantage of market momentum
I am an experienced investor and have been investing in real estate and stocks for 25+ years and I have recently discovered a more niche market investment vehicle in the leveraged ETF funds. I have a diverse portfolio of real estate, broad market ETFs, Bonds, and individual shares in companies. All of these various vehicles offer a different risk/reward ratio and I am very comfortable with that
I have traded stocks for over 35 years and one of the most important rights we have as investors is the ability to make our own decisions on what specific investment vehicles we choose to buy and sell. Regulators should not limit this ability for individuals and should instead focus on finding those individuals or corporations abusing the system. Anyone that is investing should do their own due
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Effective December 21, 1984, an additional 25 NASDAQ National Market System (NASDAQ/NMS) securities will begin trading in the Small Order Execution System (SOES). SOES began successfully on December 14 with over 66,000 shares in 25 different stocks traded during the first day of operation. (A list of those securities is contained in
I'm an ordinary investor in my 50s and have been investing in leveraged and inverse ETFs for about a decade. As an adult and investor I should be able to invest in leveraged and inverse products without requiring me to jump thru hoops. Leveraged products should be treated like any other high risk stocks or instrument, i.e., raise the margin requirement but do not require any undue
