INFORMATIONAL
Comment Period Expires: September 6, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Money Laundering Compliance Programs
Executive Summary
On October 26, 2001, President Bush signed into law the USA PATRIOT
I’m not going to pretend that I know more then the sec. I’ll just say one thing. Enforce the rules you have in place, and stop [REDACTED] for someone because they have billions in the bank. We the people won’t [REDACTED] for you or them any longer. And when this transfer of wealth is complete there will be an all new era in America and I for one, can’t wait.
Where do I begin? Crack out the whip on SEC forcing them to actually enforce the current rules, & make improvements where needed to protect EVERY investor - NO FAVORITISM. Shorts should be transparent for ALL to see. 'Immediate' enforcement of FTD failure to deliver. FULL transparency is imperative, show what's happening on the inside with dark pools. A fair market needs to
TO: All NASD Members and Other Interested Persons
It has come to the NASD's attention that some members are engaging in a practice with regard to settling customer complaints that may involve violations of Article III, Section 1 and Article IV, Section 5 of the NASD Rules of Fair Practice. The staffs of several NASD district offices have encountered difficulties in investigating potential
I JUST WANT THE RULES TO BE ENFORCED FOR ONCE. YOU GUYS ARE SUPPOSED TO PROTECT THE RETAIL INVESTOR. What is happening behind closed doors is unbelievably evident. THEY ARE OVERLEVERAGED yet have not been called. AMC retail investors own the float and they continue to borrow shares they find somewhere. How can you claim to be for us when their penalties are a slap on the wrist. please protect us.
All current legislation should be properly enforced. Harsher punishment for those who fail to abide by the rules; bigger fines (full amount made from any damages done through manipulation) and or Jail time. HFT - they should either be regulated and monitored or scrapped all together. No human can compete with them. Stop the forced bankruptcy of companies through market manipulation.
Inverse and leveraged securities are critical to an investor's ability to hedge portfolios and/or have an opportunity to make money in down or volatile markets, such as the one we are in right now. Without these ETFs, the only options we have for hedging are buying puts or short selling, which is infinitely more dangerous to the retail trader than owning an inverse/leveraged fund. By taking
Hello, I am a retail investor. I am one of many individual investors who lives month to month. I am a 100% disabled veteran and Ive been invested since the moment I got my disability. I mostly trade inverse and leveraged ETFs and ETNs. Since I began trading in 2020, I have made almost 300% returns. I am a traditional buy and hold investor. I know these investment vehicles are supposed to be in
As an educated & well-researched "retail" investor, I find this legislation incredibly insulting. The condescending essence of the idea that I am not capable of understanding the risks of leveraged and inverse ETFs is disgusting. Such ETFs have allowed me to outperform the major indexes through the bear market we are currently going through, and without access to them retail
This page contains technical information about filing Regulation T, SEC Rule 15c3-3, and FINRA Rule 4210-related extensions requests using the REX system.
