Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 2, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,766. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
TO: All NASD Members and Other Interested Persons
On May 31, 1983, the Securities and Exchange Commission ("SEC") approved an amendment to the Association's rules rescinding the Policy of the Board of Governors — Venture Capital and Other Investments by Broker/Dealers Prior to Public Offerings ("Venture Capital Policy"). Simultaneously, the SEC approved an amendment to
I am a 57 year old investor that has traded / invested in different asset classes including equites, option and futures. I think the leverage / inverse funds are a valuable tool to be used by investors / traders and should continue to be available to the public without restrictions.
I object to limitations on my investments. In a free society I have the right to invest my assets in the vehicles of my choosing. I understand risk and reward and should be free to try tocreate a better future for myself and my family. Restrictions on this ability are un-American if not unconstitutional.
I don't think you should forbid everyone to trade leveraged and inverted ETFs, With some qualification such as 10 years experience and certain net worth, such as net $1000000 in investment assets, those people should be able to qualify to trade those vehicles.
I began investing in a Inverse S&P fund an have taken massive hits to my assets that I have spent 20 years saving, you do not have the right to stop this at your will. I will file a lawsuit if this stops when it is beneficial for me and my family.
