Free Market??????????????????? Why wouldn't you bet an inverse fund when you see a bubble. Why do I need to take a test to see a bubble through zero interest rates for 4 years?
FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of May 31, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
OTY.GA
Coty Inc.
10.250
5/1/05
SCK.GC
Sea Containers
12.
The following links should be helpful when filing online for your firm and associated individuals:CRD System and Related LinksElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)Filing Guidance Related to Registration FormsCurrent Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)Investment Adviser Representative (RA) Form Filing
(a) The term "Browse" shall mean the function that permits a Participant to review (or query) for trades in the System identifying the Participant as a party to the transaction, subject to the specific uses contained in the System Users Guide.
(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System
Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each member's anti-money laundering program must be approved, in writing, by a
On-Site Review Program (OSR)
I oppose regulations that limit small investors ability to invest in leveraged and inverse funds. This is a basic principle of fairness. Should these vehicles only be available to high net worth individuals? There is enough special privilege already in the system that rigs the system against individual investors. This rule amounts to further theft.
SUGGESTED ROUTING:*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 12, 1991, the following 19 issues joined Nasdaq/NMS, bringing the total number of issues to 2,535:
Symbol
NASDR has filed with the SEC a proposed rule change to require certain NASD members to conduct or to participate in computer tests designed to address the Year 2000 problem.
