Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both.
IMPORTANT
TO: All NASD Members and Other Interested Persons
At its November meeting, the NASD's Board of Governors determined to take several actions in the area of short sale regulation in the over-the-counter securities market. This notice summarizes these actions.
Reporting of Open Short Interest Positions
The first such action will require members to report to the NASD, for purposes of
TWIMC,
Leveraged and inverse funds, among other complex products under consideration, are important tools for individual investors and should be freely accessible regardless of a persons professional background or wealth, including the ability to pay for training or advice/service. Sufficient information is publicly available for people to educate themselves and make personal risk/benefit
The Neutral Corner—Volume 3, 2020
Mission Statement
Maintaining Arbitrator Neutrality in the Age of Social Media (by Joyce Park, FINRA Corporate Intern)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Hearing Postponements and Virtual Hearings
Virtual Arbitration Hearing Statistics
Arbitration Case Filings and Trends
Register for the DR Portal Today
Portal Enhancement: New
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
February 1, 2001The first quarter 2001 software release for OATS contains two enhancements that will significantly affect NASD member firms, service bureaus, and clearing firms.The first enhancement is to empower member firms with the ability to control who submits order data on their behalf. OATS will give member firms the ability to set up reporting relationships with their Order Sending
The risks of investing are well known. Loss of capital is always possible. The risks of investing in leveraged and inverse funds are equivalent. As an investor, I don't need the government to tell me what I may or may not invest in. Your duty is not to protect me from myself, or from possibly poor decisions I may make. At the limit, your duty may be to inform me of risks, but beyond that, it
I, as the investor, should be able to choose what investments I want to commit my capital to. As an investor, I should have all available information about an investment to make a prudent decision based on my goals and risk tolerance. Putting restrictions on investments deemed high risk is only favoring those that are approved to trade them. I request that FINRA focuses on ensuring that proper
I have used leverage funds over the past fifteen years. They are integral part of my investment strategy, one that has allowed me to retire early. This constituent a limited portion of my portfolio but have allowed enhanced returns. This would not be possible has I not been able to use leverage funds earlier in my investment experience or with a smaller portfolio balance. There is ample
Leveraged and inverse funds are not hard to understand, even for the average investor like myself. We live in a country that is supposed to allow us freedom of choice. I choose what to invest in, good or bad, right or wrong. The current notifications provided by the brokerages as to the inherent market risks associated with these type of investments are sufficient to make an informed choice
