TO: All NASD Members and Other Interested Persons
Recent changes to certain Securities and Exchange Commission ("SEC" or "Commission") requirements for the filing of public offerings have raised interpretive questions concerning the Association's filing requirements. In 1982, the SEC adopted new forms for registering securities, Forms S-l, S-2, and S-3, as well as new
I have complete understanding of the securities I buy and the risks associated with them. From options as well as leveraged ETF s
The ability to freely use stocks, permitted my life to be better
My children have benefited as well
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
Naked shorting, synthetic share creation, and dark pool order flows for payment need to stop. The algorithms are out of control and have caused our financial systems to be nothing more than programmed manipulation by hedge funds which do not have the interest of the retail trader at heart. Shorts need to report daily and FTDs need to be fully resolved by day 13th - not just the minimum payments
Fractional shares offer investors an opportunity to purchase pieces of stock shares. While fractional shares can offer flexibility and convenience, it’s important to understand their associated limitations and how your brokerage firm handles them.
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
On behalf of NASD, I would like to thank Chairman Sarbanes, Ranking Member Gramm, and the members of the Senate Banking Committee for this opportunity to testify.
Leave leveraged funds alone! They have served me well by adding significant gains to my retirement assets.
tHE LEVERAGED AND INVERSE FUNDS ETFS HAVE SERVED US WELL. dO NOT CANCEL OR CHANGE THE RULES FOR INVESTING IN THEM.
