SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 20, 1992, the NASD® submitted to the Securities and Exchange Commission (SEC) a letter responding to the SEC's request for comments on today's market structure and regulatory environment
I Jason snyder do not agree or support changes to inverse leverage trading. Again the wealthy control the markets. You allowed the public to trade and lose on inverse funds for the entire rise of the market and now when the economy is going over a cliff due to terrible management from the top you want to take away the ability for the public to make gains from the market taking. Total manipulation
Please do not be condescending or ignorant about unnecessary regulations. Leveraged etf's are a safe and effective way to hedge wealth and/or create investment profits. Leveraged and inverse funds are essential to manage down markets and as a mature investor I do not need Finra guidance on what to do with my money. In my view this maybe a play to limit downside momentum in the stock market
Given that our government continues to promote low interest rate environments where elder savers are punished, inverse etfs are an excellent tool to hedge income based stock portfolios. Instead of focusing on singular market events to evaluate etf tracking error, the government should endeavor to actually study long term inverse etf tracking error and counter party risk. Leveraged etfs are
Remove settlement days on stock held in a broker account. Stop day traders who push and manipulate the market. Penalize "experts" who say one thing and invest the opposite. Where were you guys when Goldman was making recommendations to it clients and betting against them. Clean the game up before you try to limit participation. What big vested interest is causing to to propose this? Who
I want the ability to make my own decisions on what investments to make and when to make them. Timing can be everything. A "cooling off period" could miss the opportunity. You don't have to take a test to invest in the market, go to Vegas, or buy expensive cars and toys, so why single this out? Some people aren't good at tests but are capable of incredible knowledge and
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Fairness of markups and markdowns charged by members in principal equity transactions with customers has become an increasingly important
S. GOLDMAN ADVISORS, LLC599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022S.G. LONG & COMPANY283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328S.L. REED & COMPANY11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346S2K FINANCIAL LLC5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822SABADELL
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
(a) Position Limits
Except with the prior written approval of FINRA pursuant to the Rule 9600 Series for good cause shown, no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof, or for the account of any customer, a purchase or sale transaction in an index warrant listed on a national securities
