NASD Clarifies Rules
Governing RR/IAs
Suggested Routing
Senior Management
Internal Audit
Legal & Compliance
Registration
Training
Executive Summary
On May 15, 1994, the NASD® issued Special Notice to Members 94-44, , which clarified the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to investment advisory activities of registered representatives (
I have been investing in ETF's for the past 20 years, and I have made significant profits toward my retirement from these particular funds. Removing the ability for the retail investor to hold and trade these funds would severely unduly limit the average investor from profiting the same as the establishment and professional traders, which would be discriminatory and and unfair. We are
Dear Sir, Mdm,
I want to make a clear statement about my need to be able to trade LEVERAGED AND INVERSE FUNDS. I am now able to buy a house, and pay for the education of my two children, thanks to my trading of the last years.
I believe I not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the
I am an experienced, knowledgeable, and capable, investor. I should be able to choose the investments that are right for me, without government interference in the form of regulatory restrictions. Burdensome regulations would hit small individual investors like me the hardest, while institutional investment firms and very rich investors would retain yet another advantage (among the many that they
I am angry to learn about potential limits of my ability to trade any public security. Leveraged and inverse funds allow me to better manage risks and liquidity in my portfolio. They also offer the ability to trade in smaller sizes than typical futures contracts. Being able to short something without having to adjust exposure daily is a massive benefit for investors. You can't naked
GUIDANCE AND REQUEST FOR COMMENT
Regulatory Transaction Fees
Comment Period Expires March 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Regulatory Transaction Fees
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice
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Note, this is an implementation date change.1
Effective Tuesday, August 30, 2022, the FINRA TRACE, ADF and ORF Web API reference data downloads will no longer be accessible using the Transport Layer Security (TLS) 1.1 protocol. FINRA will disable TLS 1.1, and firms using that protocol will not be able to establish connectivity to FINRA’s secure web servers to download the files. To gain access
I have been trading leveraged and inverse funds for some time now and should remain to be allowed to do so without further qualification. I am aware of the risk involved and, as a responsible investor, should not be subject to special tests or requirements to trade in these vehicles other than being aware of the risks involved. I do not think my access should be limited from any particular
As prepared for delivery.
Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
