This is not the first time that regulators have attempted to regulate Leveraged ETFs.
For some reason, we only see these actions at times when the markets have increased volitility. When times are good and the leveraged long ETFs are soaring, there is no scrutiny. Only when the leveraged short ETFs can provide value to investors do we see the risk of regulation or curtailing.
I consider a
How has the activity with AMC not resulted in any action or change?
Effective Date: September 4, 1997
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
On September 4, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the definition of "qualified independent underwriter" in Rule 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules
Module 3: Security Futures explains the characteristics and elements of security futures.
Our firm is totally against your potential very harmful regulation.
If you proceed expect a class action
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 20, 1988.
BACKGROUND AND EXPLANATION OF AMENDMENTS
Under current NASD procedure, the Executive Committee of the NASD Board of Governors has been delegated the authority, pursuant to Article XI, Section 4 of the NASD By-Laws, to exercise the powers of the Board of Governors between meetings of the Board. Typically,
I hope you backtrack from any action on this. We are adults and should be treated as such. DO NOT RESTRICT MY RIGHT TO INVEST.
TO; All NASD Members
LAST VOTING DATE IS MAY 28, 1988
EXECUTIVE SUMMARY
NASD members are invited to vote on new Section 3 to Article VII of the NASD By-Laws, which grants emergency authority to the NASD Board of Governors and a committee consisting of the Chairman of the Board (or Vice Chairman in his absence), the NASD President, and a member of the Executive Committee—to take various actions
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot
Sec. 7.1 (a) FINRA Dispute Resolution shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Dispute Resolution or a committee member, or
