Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend: (1) Section 8.2 (Position Limits and Large Trader Reporting) of the Security Futures Risk Disclosure Statement (“2018 Statement” or “Statement”) to reflect the higher position limits for security futures contracts and changes to the
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceResearchSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
Stop regulating my freedom to choose the investments I make. Why don't you go after the senators/congressmen for insider trading.
we already attest to the risks and should be allowed to trade inverse funds. Unless your goal is to suppress the little guy.
Leveraged and inverse ETFs are necessary for many of my trading strategies. Don't be stupid, let people invest in what they want
This is total bull crap.. WE SHOULD HAVE THE RIGHT TO TRADE WHAT WE WANT. We are aware of Risks in prospectus
I am opposed to any restrictions or special processes to trade my own money. That's my business only. Thanks
Limit insider trader of the members of the US CONGRESS,
So they are not competing against my trade without any insider information.
