Every year, millions of older investors become victims of financial exploitation, resulting in billions of dollars in personal losses. Read more about rules that allow brokerage firms to take steps to protect seniors and other specified adults.
Hello:
I am concerned about the possibility of being prevented from investing in various investments, like Leveraged and Inverse Leveraged funds.
I agree these are not for the uninformed investor. But in my case, I am informed. I used to have a series 7 license in my past. I do my own research, and make my own investment decisions. I am knowledgeable.
Please don't take away the
It is not the government's role to determine an individual's ability to understand their own finances. Therefore I oppose this notice quite directly. Information about "complex" and inverse financial products is freely available online, and any able minded adult is able to find this information easily. Just because an individual may not fully understand a
INFORMATIONAL
Minor Violations Of Rules And Late Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Minor Rule Violation Plan
Schedule A of the NASD By-Laws
Executive Summary
On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
SEC Leveraged and inverse funds are used in particular situations to hedge or enhance certain positions I may have. Rather than selling some or all of a position and causing taxes, I can use an inverse fund to protect my investments. Today, my broker provides information to ensure I have the needed information about using these funds. Please don't add increased scrutiny or requirements to
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Remarks From the National Compliance Outreach Program for Broker-Dealers
INFORMATIONAL
Notices to Members
SUGGESTED ROUTING
KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
November 26, 2001
OSO (Order Sending Organizations) Administrators at OATS Transmitting and Reporting firms are responsible for maintaining a list of contacts with whom OATS technical and regulatory staff can communicate concerning a variety of OATS issues. There are three types of OATS contacts:
OATS Administrator - The primary contact for the OATS program.
OATS Technical
FINRA should provide daily updates on short interest and failure-to-delivers. If that isn't feasible, then at minimum a T+1 timeframe should be implemented. Rampant naked shorting along with a financial toolbox that favors large institutions goes against what a free market is all about. As a retail Investor, I do not have the same means or access to the types of information that larger
