I am new a new retail investor and came in with great confidence thinking that I was investing in a fail market only to find out that these hedge funds are allowed these fraudulent and predatory behaviors like dark pools, shorting and kick backs for payment order flow which is plain robbery and nothing has been done to stop this. Retail investor want for best execution which is best available
2004 2005 Filing Due Dates
NASD would like to remind members of their obligation to
file the appropriate FOCUS reports, Annual Audits, Customer
Complaints, and Short Interest Reports by their due dates.
The following schedule outlines due dates for 2005. Questions
regarding the information to be filed can be directed to the
appropriate District Office. Business questions as to how to file
the
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
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Executive Summary
NASD is issuing this Notice to Members to solicit comments from
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend NASD Rule 7001C (Securities Transaction Credit) to increase to 100% the percentage of New York Stock Exchange ("Tape A"), American Stock Exchange ("Tape B") and Nasdaq Exchange ("Tape C") revenue shared with NASD members reporting
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend NASD Rule 7001E (Securities Transaction Credit) to increase to 100% the percentage of New York Stock Exchange ("Tape A"), American Stock Exchange ("Tape B") and Nasdaq Exchange ("Tape C") revenue shared with NASD members reporting
My Pro shares inverse fund allows me to hedge the downside of the stock market. Thank You
These are complex financial instruments but less risky than options or individual stock ownership. Please do not regulate these.
please allow leveraged ETFs for seasoned investors that use these ETFs as a hedge against stock market drawdowns