The restriction of investment in non-traditional stocks and bonds is a driving force in making the investment playing field unlevel between the regular Americans and HNW individuals/institutions. There is no benefit by limiting the playing field to the average American, and reduces the ability of wealth creation along with hedging abilities that HNW individuals have.
Inverse and leveraged ETFs
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
COMMENTS MUST BE RECEIVED BY OCTOBER 1, 1984
The National Association of Securities Dealers, Inc. (the "Association" or "NASD") is publishing for comment a proposed new Section 65 to the Association's Uniform Practice Code which would establish procedures for customer account
Hi, my name is Jane Liao and I am a Bito investor, I don't understand why "FINRA" issued a notice on March 8, 2022 and try to restrict investors buying a called of "complex products. I have the right to decide which public equities, bonds and funds I want to buy. It will help I achieve long-term financial security. It is an investors right to freely access the entirety of the
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceOperationsTrading
Executive Summary
On September 20, 1994, the Securities and Exchange Commission approved a proposed rule change by the NASD that amends the listing requirements in Parts II and III of Schedule D to the NASD By-Laws to impose specific delisting requirements for units listed on the Nasdaq National Market® and The
With a new year come new financial challenges, resolutions, and investment risks. On this episode, FINRA’s Head of Investor Education shares insights on leveraging market trends and tools to achieve your money goals in 2025.
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
Summary
In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of 1934,1 FINRA is issuing this Notice to re-open the comment period for Regulatory Notice 15-13. Rule 15b9-1 currently provides proprietary trading firms with an exemption from membership in a national securities association. If the SEC re-proposal is adopted, the
Comment Period Expires January 17, 1995
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInternal AuditLegal & Compliance
Executive Summary
The Department of the Treasury (Treasury) is publishing for comment proposed amendments under the Government Securities Act of 1986 (GSA). The amendments would establish risk assessment rules for government securities broker/dealers
There are five major suggestions I have: 1. All short interest data be updated daily; 2. No longer allowing the synthetic long loophole to short; 3. No longer allowing shorting in dark pools so the activity can be fully traceable; 4. If a firm FTD, for any reason, they are prohibited from shorting until they cover; and 5. Using blockchain to track every short order executed to ensure a complete
