NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using one of at least three imposter FINRA domain names:
“@finrar-reporting.org”
“@Finpro-finrar.org”
“@gateway2-finra.org”
The email asks the recipient to click a link to “view request” and provide information to “complete” that request
When a company files for bankruptcy protection, chances are its shares will lose most, if not all, of their value. Here’s a look at what shareholders can expect and why it’s so risky to trade in the delisted shares of bankrupt companies.
1) SEC regulations are very confusing and at times it appears as though there isn't an actual run book that staff use before concluding if something is a security or currency. Another area for improvement in this space is helping people form an appropriate approach, and lastly crack down on these exchanges. Some of them are dodgy [REDACTED]. 2) I did like Binanaces approach to educating
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2021.
Please see below for comments in response to Regulatory Notice 22-08. Thank you for the opportunity to provide feedback. Definition of complex should be objective- if use of derivatives is a criterion it should be applied to all funds that do so. This suggests that more useful criteria would focus on factors like maximum risk of loss, risk of the fund not being able to meet its stated objectives
Dear Regulator,
I first learned about leveraged ETFs in 2007, just before the great financial crisis and I have used them as part of my portfolio to achieve my investment goals ever since.
I had a position in them just before the great financial crisis, and remember well how quickly they lost value, but having grown up in a hyper-inflationary environment, I also had clear understanding of the
Hello, I am a retail investor who regularly buys and sells leveraged index fund products. I trade these funds based on a strategy I have developed with great research and care, and know full well the risks involved. Leveraged index funds provide retail investors access to position-sizing and diversification strategies that would be too onerous for such investors to implement themselves.
This is well beyond your authority
Comments:leave well enough along
