Number
Date
Title
2022-85
May 20, 2022
SEC Charges Wells Fargo Advisors with Anti-Money Laundering Related Violations
SEC Order
2022-83
May 16, 2022
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
SEC Complaint
2022-1
January 5, 2022
SEC Charges Additional Defendant in Phony
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective January 2, 1997, tier sizes for 762 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g).
For more information, please contact Nasdaq Market Operations at (203) 378-0284
To Whom It may concern:
I have successfully been investing in ProShares leveraged funds since 2012, over 10 years. Investing in the leveraged funds has enabled me to achieve an above average annual return. The wealth generated from these investments has largely been in a tax deffered Profit Sharing Plan and an IRA.
They provide me with a greater sense of mental well being, which carries over
Dear Sirs/Madams, It's come to my attention that you are considering regulating so-called complex or leveraged ETFs. As an active small investor, I implore you not to do so. I use these ETFs to hedge risk in the marketplace, and this gives me confidence in my investments, knowing that I can sustain market shocks, as well as to maintain reasonable rates of return. I have been using these for
Maintaining Your Registration Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm’s policies to maintain your registration
OverviewWhen considering their obligations to provide all available breakpoint discounts on sales of Class A shares of front-end load mutual funds, member firms may review the following Breakpoint Checklist and Breakpoint Worksheet, which may help member firms evaluate their breakpoint compliance programs and confirm whether they are capturing all relevant categories of information to provide
Restricting my ability to used leveraged and inverse funds would reduce my ability to generate taxable income. I love that I can support government programs through taxable income earned in leveraged and inverse funds.
It feels like all these additional hurdles and restrictions are being considered to benefit the larger hedge funds and money managers and restrict individual investors from access. I have always been able to choose the type of investments that are right for me and my family, I understand the risks as well as benefits to investing. I am an adult and would like to continue the freedom of choice in
TO: All NASD Members and Other Interested Persons
Attn: Corporate Financing Department
LAST DATE FOR COMMENT: June 6, 1986
The Board of Governors of the National Association of Securities Dealers, Inc. has approved a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, Article III, Section 1 of the NASD Rules of Fair Practice (the Corporate Financing
Hello,
Hope you are well! I understand your reluctance, but I desperately need access to leveraged indices, and triple leveraged indices, understanding full well that there's a massive risk involved. It's something that I'm fully aware of. I truly need this to secure my near term and long term futures, if you remove my access now, it will destroy my ability to retire
