O'TOOLE INSURANCE & SECURITIES14-30 COLLEGE POINT BLVD, COLLEGE POINT, NY 11356OAK HILLS SECURITIES, INC.121 NE 50TH, OKLAHOMA CITY, OK 73105OAK TREE SECURITIES, INC.4049 FIRST STREET, SUITE 129, LIVERMORE, CA 94551-4949OAKLINS DP LLC90 PARK AVENUE, 24TH FLOOR, NEW YORK, NY 10016OAKPOINT SOLUTIONS, LLC100 SOUTH ASHLEY DRIVE, SUITE 1130, TAMPA, FL 33602OAKWOOD CAPITAL SECURITIES, INC.
Response to the Financial Industry Regulatory Authority (FINRA) proposed rules on leveraged ETFs Leveraged ETFs may be volatile but it is not more volatile than many individual securities. In addition to uncertainties with individual stocks, Investors are able to allocate the use of leveraged ETFs to diverse their assets to fit their risk tolerance against the effects of a volatile and uncertain
I express my disapproval of the possible restriction on the ability to invest by myself, it has been a fundamental advance for me to know that I am capable of planning my financial future while learning along the way about how to make my investment systems more efficient. I have been able to empower myself as well as my children, family and friends to learn and apply financial knowledge in asset
Public GovernorStrategic Advisor, Humana, Inc.Governor Since 2021Committees: Audit & Risk Committee, Compensation & Human Capital Committee, Finance, Operations & Technology Committee, Regulatory Oversight Committee Professional ExperienceHumana, Inc. (2017 – present)Chief Information Officer (2021 – 2024)Chief Technology and Risk Officer (2019 – 2021)Chief Risk
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ACTION REQUIRED
Financial Accounting
SUGGESTED ROUTING
KEY TOPICS
Accounting
Financial Compliance
Operations
Senior Management
Financial Accounting
FOCUS Reporting
Net Capital
Executive Summary
In May 2003, the Financial Accounting Standards Board (FASB) released Statement No. 150, Accounting for Certain Financial
To Whom It May Concern:
Please find my official comment to FINRA Regulatory Notice #22-08. I oppose the contemplated restrictions for the following reasons (among other things):
1. Financial instruments available to retail investors (like myself) have to go through a rigorous disclosure/registration process before becoming available generally for investment. It thus seems unnecessary to impose
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to add a new section to Part I of Schedule C to the
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
