I manage my retirement financial assets based upon my financial needs and NOT FINANCIAL DESIRES. I am a retired CPA with plenty of experience in the assets I invest in. I understand risk, how it is measured and how to manage it. I do not need government permission to do what I know how to do. So please leave me alone, I can take care of myself.
Its important to continue to allow innovative financial solutions like leveraged assets. I feel this type of asset is of lesser risk than many other asset options. Ie individual low quality stocks, SPACs and options contracts.
Please do not restrict public purchase access to Defined Outcome ETFs, ETNs, ELNs, Market-Linked CDs, Structured Notes, Principal Protected Notes, Derivatives hedging ETFs, Opportunistic/Tactical Multi-Strategy ETFs--all of which serve to REDUCE portfolio risk. Restricting access stifles liquidity, thereby increasing volatility creating even more risk to market function and more risk to investors
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Terms and acronyms candidates may encounter in FINRA qualification exams.
T CAPITAL FUNDING, LLC600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701T&G PRIVATE CAPITAL LLC44 WALL STREET, SUITE 602, NEW YORK, NY 10005T. E. LAIRD SECURITIES, LLC79 OTIS AVENUE, ST. PAUL, MN 55104T. ROWE PRICE INVESTMENT SERVICES, INC.100 E PRATT ST, BALTIMORE, MD 21202T.R. WINSTON & COMPANY, LLC376 MAIN STREET, BEDMINSTER, NJ 07921-2613Mailing Address: P.O. BOX
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and&
FINRA's Dispute Resolution Services (DRS) helps investors and firms resolve securities-related disputes through arbitration and mediation. We provide a fair, efficient and effective forum for resolving disputes involving brokerage firms and their brokers.8,000+well-qualified arbitrators drawn from a variety of professions and backgrounds.84%of customer arbitration cases closed
M FINANCIAL SECURITIES MARKETING, INC.1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209M HOLDINGS SECURITIES, INC.1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207M SHARE CAPITAL LLC200 BRANNAN ST, NO.443, SAN FRANCISCO, CA 94107M STEVENS SECURITIES, LLC3753 HOWARD HUGHES PARKWAY, SUITE 200, LAS VEGAS, NV 89169M&A SECURITIES
TO: All NASD Members and Interested Persons
ATTN: Registration, Training and Compliance Personnel
The subject matter of various NASD qualification examinations has been affected by the passage of the Tax Reform Act of 1984 (the "Act") as well as by recently adopted amendments to certain SEC and NASD rules. The test items affected by these changes have been deleted from the current test
