For the period of 6/1/2025 through 6/30/2025AARQ SECURITIESARQ SECURITIESNAME CHANGED TO: LIQUIDITY.IO, LLCARQ SECURITIESLIQUIDITY.IO, LLCNEW NAME OF: ARQ SECURITIESBBLUE QUARTZ INVEBLUE QUARTZ INVESTMENTS6424 DASH POINT BLVD NE, TACOMA, WA 98422ADMITTEDBRIDGEWAY SECURIBRIDGEWAY SECURITIES1 CHISHOLM TRAIL RD, SUITE 450, ROUND ROCK, TX 78681ADMITTEDCCAPTIVEX SECURITCAPTIVEX SECURITIES LLC67 HOLLY
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved and filed with the Securities and Exchange Commission amendments to Schedule D of the By-Laws that increase the initial and continued inclusion criteria for securities traded in the
It is my right to be able to purchase whatever financial assets I choose. My lack of money should not prevent me from participating in the same market as institutional investors. Institutional investors already face minimal regulation and are free to do whatever they would like, while retail investors are banned from day trading. Payment for order flow makes the issue even worse as only big
In 2019, FINRA assessed firms’ senior investor protection programs, including their implementation of the FINRA Senior Exploitation Rules. In particular, FINRA evaluated how firms addressed risks relating to senior investors in their policies and procedures; gathered trusted contact person information; developed training relating to senior investors; implemented systems to escalate financial
A self-directed individual retirement account (IRA) is an IRA held by a custodian that allows investment in a broader set of assets than most IRA custodians permit. Custodians for self-directed IRAs may allow investors to invest retirement funds in “alternative assets” that have unique risks, including a lack of information and liquidity—and the risk of fraud.
The investing public not regulators should be able to choose the investments that are right for me and my family.
Investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and
(a) Assignment of Responsibility for General Ledger Accounts
Each capital acquisition broker must designate an associated person who is responsible for each general ledger bookkeeping account and account of like function used by the broker and such associated person must control and oversee entries into each such account and must determine that the account is current and accurate as
When investing in your 401(k) or other retirement savings account, target-date funds, also known as life-cycle funds, are one popular option. You pick a fund that is dated around when you plan to retire, and that fund promises to rebalance as you approach that date.
I completely disagree that regulators should be able to own the right to deny me the ability to use leveraged and inverse funds. I've been trading with these instruments for a decade and they have preserve my capital, and grown my net worth. Without these instruments, I'd be in trouble. These are very important particularly in the market we are in now when I can hedge my
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
