I feel that the move to restrict access to leveraged and inverse funds is a wrong one. Such a restriction would devoid the retail investor from access to quality instruments that could be significantly beneficial. Several academic studies have underlined the importance of leverage. The LifeCycle Investment from Yale is one such example. These leveraged and inverse funds provide a simple option
I use leveraged funds in a an investing plan in which I am fully aware of risks. The government should NOT place any restrictions on the choices of individual investors as incorporating leveraged investments into my plan is my choice and I am under no obligation to do so. If the government desires to meddle in personal affairs, how about educating people about financial programs, investing and
We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
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Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) is informing NASD members of the 1999 District Committee members and the District Nominating Committee members.
Questions concerning this Notice may be directed
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination; Effective Date: April 7, 2008
E.1. The phrase business as such under Exchange Act Rule 17a-4(b)(4) is not defined.34 What questions, concerns or challenges, if any, does this raise with respect to ensuring compliance with the recordkeeping requirements? Are there categories of records that are especially costly or difficult to capture or retain, and which may provide no appreciable regulatory benefit? <EA1: Ambiguity
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
