I am against these new proposed rules, as we should be able to invest our money to products that understand. These rules will limit the retails investors to invest with leverage using cheap margin loans.
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Executive Summary
On November 10, 1994, the Securities and Exchange Commission (SEC) adopted amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Act) that prohibit broker/dealers from underwriting and recommending municipal securities for which
INFORMATIONAL
Borrowing From and Lending to Customers
Effective date: November 10, 2003
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Borrowing From and Lending to Customers
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Executive Summary
On August 29, 2003, the Securities
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Exemption from lock-up provisions in Rule 2710(g) for shares to be issued upon the split of common stock that takes place within 180 days of the required filing of the offering with NASD when the pre-split shares were acquired prior to the 180 day timeframe.
Monthly Disciplinary Actions April 2020
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On August 25, 1994, the NASD issued Special Notice to Members 94-68 (Special Notice) dealing with the NASD's recently approved short-sale rule (Rule). In that Special Notice, the NASD set forth a description of the Rule, provided answers to questions concerning the operation of the Rule, and included
I am opposed to adoption of Rule #22-08. I am not a big time investor, but I invest consistently and I think wisely using Proshares leveraged ETFs among others. I understand the long term risk of investing in these ETFs and usually do so for the very short term, I believe my participation makes for a more liquid market which I believe is the reason this country operates a capitalistic system, In
Dear FINRA,
I have recently been made aware of the FINRA proposed rule #22-08, and it has me concerned for investors for the following reasons listed below. In summary, I believe if this rule is codified it will hurt investors more than help investors, will hurt the economy around investing in America, and is simply against the freedoms granted to us as being an American citizen.
1) The spirit of
