The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
To whomever this may concern,
Leverage in small amounts (2x or less) coupled with dollar cost averaging has been shown to increase returns without a corresponding increase in risk. Ian Ayres (http://lifecycleinvesting.net/) has written extensively about this topic in both books and peer-reviewed literature. I feel strongly that there is room in the index fund market to make this automatic and
Dear FINRA,
Leveraged ETFs are a relatively new entrants into the stock market, with the first fund being introduced in 2006. These ETFs give retail investors easy access to leverage that does not subject them to margin calls, or expire worthless like an option. Another innovation made possible by Leveraged ETFs, are inverse strategies. By providing investors with the ability to hedge their
To Whom It May Concern:
I am strongly opposed to any restriction to on my ability to invest in leveraged and inverse funds. These funds are great innovations that have been extremely helpful in hedging my regular investments since they became available. Loss of these products would expose me to a higher level of risk. Independent entities are at a disadvantage vis a vis institutions in all social
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury has finalized amendments to the implementing regulations of the Bank Secrecy Act. Also known as the "Currency and Foreign Transactions Reporting Act of 1970," these regulations govern the financial recordkeeping and reporting of currency and foreign transactions. The amendments, which
Executive SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the NAC, and candidates for vacant Regional Committee seats
SUGGESTED ROUTING*
Legal & ComplianceRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved two revisions to Form BD, the Uniform Registration Application for Broker-Dealers, under the Securities Exchange Act of 1934. These revisions, which are effective August 1,
FINRA Issues Guidance on Master and Sub-Account Arrangements
TO: All NASD Members and Other Interested Persons
ATTN: TRAINING DIRECTORS AND REGISTRATION PERSONNEL
The Qualifications Committee of the NASD Board of Governors is pleased to announce that starting on August 1, 1986, the Financial and Operations Principal Examination (Series 27) will be administered on the PLATO system. Currently, Series 27 is administered as a written examination on the third
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
