Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
I wish to make my opinion know that I oppose any restrictions on my ability to trade leverage and inverse funds offered by ProShares. As a retired individual, I rely in no small way on my ability to trade these assets to great supplement my retirement savings. Any restrictions levied upon my ability to trade in these assets will great impair my ability to financially provide for my family's
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/
The Honorable Gary Gensler
Chair, Securities & Exchange Commission
100 F Street, NE
Washington, DC 20549
Re: Proposed changes to Options and Inverse Funds
I am opposed to a wholesale elimination of trading of Options and Inverse funds. These products provide important functions in the market, and should not be eliminated. However, I recognize that these products represent leverage in
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
I believe all individuals willing to invest in publicly traded assets should have complete freedom to invest in whatever investment they deem appropriate for themselves. Especially in a day and age when there is already so much public disclosure and free financial education, one should be able to invest in any public asset he or she believes fits them and their risk profile. These investments
Regulatory Obligations and Related Considerations
Regulatory Obligations
Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to retail customers of any securities transaction or investment strategy involving securities, including recommendations of types of accounts.
Broker-dealers are also required to provide a
Dear Sirs, As a US citizen, I believe I have the right to choose my own investment for myself and my own family using any public investment vessels. This right should come with no further official regulation to decide if I am qualified in knowledge or risk taking since it's my own decision based on my own due diligence. In the past 20 years, Fed kept relaxing credits in order to save
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
Regulating what assets a person can buy is not capitalism. The regulators aka central planners are intentionally or unintentionally turning the stock market into a place where only the wealthy can invest and expect great returns. Instead of regulating the 100's of millions of individual investors your energy would be better used regulating the trades of our congress men and women who
