Sec. 3.1 Any action required or permitted by law to be taken at any meeting of the stockholder of FINRA Dispute Resolution may be taken without a meeting, without prior notice and without a vote, if a consent in writing, setting forth the action so taken, is signed by the holder of the outstanding stock.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended
INFORMATIONAL
Regulatory Fees
Implementation Date: October 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Senior Management
NASD By-Laws
Regulatory Fee
Executive Summary
As announced in Notice to Members 02-41, NASD has amended Section 8 of Schedule A to the NASD By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee
TO: All NASD Members
LAST DATE FOR COMMENT: APRIL 28, 1985
The National Association of Securities Dealers, Inc., is requesting comment on proposed rule amendments which would require that companies with securities included in the NASDAQ National Market System (NASDAQ/NMS) adhere to certain standards of corporate governance. This notice contains a discussion of the background of these rules and a
I have been investing in leveraged index funds and mutual funds such as TQQQ (Nasdaq 100 index 3X bull), TECL (S&P 500 tech index 3X bull), and RMQHX (Nasdaq 100 index 2X bull). It is important for more risk-tolerant retail investors to be able to increase their returns without losing diversity in stocks. With the assumption that markets go up in the long run, these leveraged funds allow
I believe investors should be able to make their own decisions based on the opportunity to invest in innovative technology. Many investors dont have the millions or billions of dollars to invest in start ups or big private equity deals like all the multi billionaires, VCs andPE firms do and by limiting the average retail investor to only buy proven mutual funds that are a basket of stocks you
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in
To Whom it may concern: I am 54 years old and have been an active investor since 1997. During that time I have utilized many different investment vehicles to achieve my investing goals including stocks, bonds, options, mutual funds, etfs, leveraged etfs, and even inverse etfs. It was with great disappointment to learn that federal regulators are considering restricting individual investors
I am disagreeing with the concern and motion put forward to regulate ETF products with leverage and inverse properties. As an investor, I am capable of making an informed decision in regards to the risk I am willing to take on with my investments and therefore do not agree with the proposal to restrict these financial products to those with FINRA authorization or special knowledge. If there is an
I oppose restrictions being considered associated with certain investment instruments, e.g., cryptocurrency funds. Various financial instruments are critical to portfolio diversification and risk mitigation. Commodities, precious metals, real estate, hedge funds, stocks, bonds, mutual funds, exchange-traded funds, annuities, insurance policies, trading on margin, short-sales, futures, and
To whom it may concern,
I am strongly opposed to any further regulation/restriction on my ability to invest in the vehicle of my choice by my government regulators. Inverse and/or leveraged funds are very useful instruments for investors in many asset classes and wealth strata. They should not be reserved for any particular clientele. That is the purpose of the available mutual funds and ETFs
