Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
FINRA Market Data Policies for TRACE data vendors/subscribers.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to apply minimum fees to requests for expungement of customer
It is unfair to take away these investment products from retail investors and traders while the institutions enjoy the access to plethora of information and sophisticated tools and algorithms to profit from the market.
As an informed investor --I would be limited in my options if my ability to invest in proshares inverse / leveraged funds -- pls leave them as is -- we know what we are doing
The proposed rule presupposes that most people are Incapable of making informed decisions about their investing. It is tantamount to prior restraint on the right of individuals to determine for themselves what companies they will invest in.
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer, Form U-4, and the Uniform Termination Notice for Securities Industry Registration, Form U-5. The changes
The brokerage company I work with always provides information on risk with investing. As do drug companies with risk on heath. Leave the way I want to invest alone. Ones choice. Free country.
