Notice of FINRA Small Firm Advisory Board Election and Ballots
Inverse funds are part of an important strategy for ordinary people to hedge against bear market conditions, an environment where ordinary people have very little option for protection. Do not take this option away from well educated and well informed investors.
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 3, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to the NASD Rules of Fair Practice that would require advertising and sales literature for publicly offered direct participation programs to be filed with the NASD's Advertising Department. The NASD will
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high
My financial advisors tell me that these instruments are a necessary part of my financial program. Please do NOT eliminate these important investment instruments. Jeannette
There is no reason to ban or complicate leveraged or inverse funds. I really hope that you do not embark on a program of destroying the versatility that these funds offer investors and traders.
FINRA has enhanced its engagement with key stakeholders to provide greater transparency and foster dialogue that helps us better understand the industry and markets we regulate.
Examination Findings
Changes to FINRA Advisory Committees
Small Firm Helpline
Small Firm Report
Additional Small Firm Initiatives
Changes to FINRA Rulemaking Process
Changes to Engagement with Member Firms:
Summary
FINRA is requesting comment on potential enhancements to its short sale reporting program. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other
I oppose FINRA limiting my ability to invest in whatever ETFs I want. I realize the potential losses I may incur, as well as understanding that I may gain from these investments as well. I feel like this is a bit of control by the government. It is my money to risk. I should not be denied the access to these investments.
