An unprecedented number of companies are pursuing an alternative path to entering the public market by using a special purpose acquisition company or SPAC. In 2020, SPACs raised over $80 billion, and in the first nine weeks of 2021 SPACS raised over $70 billion. Here are some basics on SPAC investing.
To: All NASD Members and Other Interested Persons
COMMENT PERIOD CLOSES ON: AUGUST 17, 1984
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on possible amendments to restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ The proposed amendments, which are discussed
1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is
My investment experience has been limited to the last few years, so I can’t pretend to have a comprehensive understanding of every law, rule, guideline, parameter, and standard operating procedure that financial institutions operate in accordance with. However, I can say with certainty that neither do major financial institutions responsible for the behavior of our markets. If the role of a
Apache Spark has become a popular platform for many types of big data workloads. The Spark API offers a well abstracted API that allows developers to easily solve big data problems.
What makes are American economy and stock market great is the ability to choose how we invest our time, talent, and of course money. For many the idea of growing assets through investments is a beautiful mechanism and the reason we wake up ready for work every morning. I love the financial industry and have worked in it for many years. When working with clients, I always try to follow the rules
It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. But there are legitimate ways to attempt recovery. In most cases you can do so on your own—at little or no cost.
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
All short positions should be transparent and recorded daily. https://www.sec.gov/rules/petitions/2020/petn4-758.pdf February 12, 2020 Vanessa Countryman Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Petition for Rulemaking on Short and Distort Dear Ms. Countryman: Petitioners signed below respectfully submit this petition for rulemaking pursuant
I have been using Leveraged ETFs for years as part of my family's overall wealth building and management plan.
There is no reason for government regulation and limitations to be placed on these instruments, as they are an important tool in helping meet financial goals.
These are publicly traded funds that provide powerful boosts to performance for personal investors at a reasonable cost
