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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and by-laws. Designated firm contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our member firms.
The ability for investors to invest in leveraged ETFs should not be altered in any way. ProShares and other firms do an excellent job informing investors of the inherent risks in leveraged ETFs. It is then up to the investor to make his/her own informed decision on whether he/she has the risk appetite to invest in such funds. In a free market democratic society, investing ones own earned funds
Comments: I don't believe FINRA should disallow "retail" investors all of the options that hedge funds and more experienced traders have access to. I think education is much more valuable than preventing people from having access to "complex products". My brokerage firm already provides warnings and information about investing in leveraged and inverse funds. It is in my
I wish to retain my ability to trade leveraged funds. I understand the risk and stay informed where such funds are involved.
I personally (not Bloomberg, LP nor any of its affiliates) believe that this is a good thing. Anyone that has searched for 605 reports needs to traverse a series of websites to find this information. In addition can you please have the broker/dealers add a header row, or at least an off file guide to reading the data. A crib sheet is also needed to understand how to look at this information -
Exemptive relief is granted based on: the representations that the contributions were made prior to employment; the individual did not engage in the solicitation of, or have involvement in, municipal securities business (as defined) for the prior six years; the firm had no knowledge of the contributions at the time they were made; the firm has established detailed and comprehensive compliance procedures and has developed information barriers surrounding the solicitation of certain municipal securities business.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
I support this effort to improve the accuracy, requirements, and meaning behind the short interest metric. A more expansive reporting requirement that captures synthetic short positions would allow FINRA to be better able to understand market participants’ short sale-related activity. As synthetic short positions provide equivalent exposure, information on them may also provide investors and
INFORMATIONAL
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
NASD Sanction Guidelines
Rule 3030
Outside Business Activities
Rule 3040
Selling Away
Recidivists
Executive Summary
The NASD Sanction Guidelines (
