Executive Summary
The Central Registration Depository (CRDSM), a computerized database containing information on all licensed registered representatives and broker/dealers, is undergoing a technological upgrade. As part of this project, the NASD has converted disclosure information from its current state (free text) into a new format (Windows-based, with discrete fields and pick lists). This
I oppose having these types of funds being removed/further regulated. Each investor should be able to make their own informed decisions.
Regulators should limit their activities to preventing fraud and informing the public. Otherwise let people take responsibility for their own decision-making.
Limit insider trader of the members of the US CONGRESS,
So they are not competing against my trade without any insider information.
As a retail investor I believe the public has the right to make informed choices to invest in leveraged funds and not to have this ability restricted.
Summary
FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as a Restricted Firm pursuant to FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111).1
The new rule amendments become effective on June 1
Impact: All Firms
Firms without dedicated information security professionals may wish to review this information with any vendors who provide those services to the firm.
As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
