tHE LEVERAGED AND INVERSE FUNDS ETFS HAVE SERVED US WELL. dO NOT CANCEL OR CHANGE THE RULES FOR INVESTING IN THEM.
This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community. TRACE is FINRA’s real-time, over-the-counter price dissemination service for the fixed-income market, bringing transparency to the debt markets, including corporate and agency debt as well as asset- and
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: January 16, 2009
I don't want to be parented by a government agency that wants to take away investor's rights and destroy a free market system wherein investor's determine their own suitability and investment goals. The proposed changes are an invasion into investor's private affairs. I very well can read a prospectus and decide for myself without any further governmental
Comment Period Expires October 3, 1994
SUGGESTED ROUTING
Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund
Executive Summary
The NASD requests member comment on proposed amendments to Article III, Sections 26 and 29 of the Rules of Fair Practice that would revise existing rules applicable to the sale of investment company securities and establish new
Yes, please to all of this. Transparency is needed here. Elimination of the dark pools as well.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice that would: (1) subject advertisements and sales literature
In a request for interpretive guidance, a member asks if NASD Rules prohibit a member from paying finders or referral fees to CPAs that are not registered as associated persons.
Ive used leveraged and inverse funds, as well as options on them, as a retail investor for years and I intend to continue doing so.
Your intrusion into our lives is well beyond the benefit of our citizens and communities, stop trying to control our lives.
