Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference
Limiting the ability for all investors to choose the investments that they want us a large overstep by regulators. Rules such as these do not provide additional protection to investors but instead provide hurdles for individuals that they cannot meet and limits their access to potential enhanced returns.
Broker dealers already provide disclosures that clients have to agree to before their
FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T 220.8 and SEC Rule 15c3-3(m) and (n)margin extensions denied around holidays. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
Gamestop and many other stocks have been and continue to be a target to illegal naked short selling that needs to stop, protect the retail investors and companies from crooks and cheats that use illegal practices to stay rich and keep the poor broke as well as drive companies that do good in the world into the ground. Get rid of PFOF, insider trading, politicians having any part of trading, dark
Short selling and rehypothecation has been used to the detriment of retail investors and is threatening to destroy the entire market structure if left unchecked. Stricter reporting of positions, including naked shorts should be happening already. Brokerage firms, market makers, and other financial institutions were never meant to have as much control over the financial markets as they currently
Leveraged and inverse funds are an important of investing for everyday Americans as well as for the privileged. On this May 5th sell off day...a tv talking blamed leveraged funds in part, but the day before had a very large gain and no credit was given to them at all. And if they do cancel these instruments will retail still get blamed for the sell off? Yes...that is what they call us. What we
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 4, 1985, 23 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,998. These issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SummaryLow-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing
I should be able to choose what type of investments I want to invest in for me and my family. This should not be restricted by regulations or to whom regulators feel should be allowed to trade. If it's a public investment, it should be open to the public. I have used inverse and leveraged funds to hedge against the huge market crash on 2020. This kept me from losing a significant amount of
I have read that you are considering a new rule to impose substantial restrictions on investors being able to invest in certain types of investments which are considered "complex products," such as inverse and leveraged funds--and I'm opposed to such a proposal. Such funds offer opportunities to investors, especially small investors who are not wealthy, to survive turbulent markets
