All short positions, short interest, and related information should be immediately filed for public disseminating and with penalties for retroactive amendments filed after the end of the period
Last Voting Date: January 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to vote to approve amendments to the NASD By-Laws to require executive representatives of members to update firm contact information electronically, to maintain
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Simplifying digital interactions with FINRA to reduce compliance costs and enable more effective compliance programs.
I disagree with strong government oversize. I believe anyone that chooses to invest does so at their own risk and as such is responsible to procure the information or education necessary to do so. I believe government regulations of individual choice is wrong.
Im an investor who is quite capable of making my own investment decisions. If you wish to regulate investments try imposing restrictions on politicians who game the system and get rich with inside information!
The proposed changes are very restrictive. Individuals should be able to decide about public investments. I often use leveraged and inverse funds to reduce the risk of existing investments. There is plenty of information available on their risk/return profiles.
As an informed investor, let me have the freedom to continue on to invest in leveraged and inverse products. Yes, investment is not without risk, but why should certain firms have more access than an individual investor?
How about instead of trying to regulate the free market you start preventing congress from trading on inside information aka nancy pelosi. Leave my leveraged etfs alone you communists
Overview
This publication outlines emerging insider threat risks and helps member firms identify, prevent, detect, and respond to these threats, including:
identifying how insider threats can occur at firms, and what factors may indicate that these attacks are on the rise;
providing a summary of core controls and effective practices firms may consider when evaluating their insider threat
