I oppose the proposed rule. I, and I alone, should be able to choose the public investments that are right for my family without having to pass a test or go through any special process. Leveraged and inverse funds are an important part of my overall investment strategy. The proposed rule would restrict public investments to a privileged few and prohibit market access to many. No government,
I am a small private investor with a great deal of experience however I might not measure up to your new strict standards.That concerns me as I use these investments as short term hedging vehicles. I shouldn't have to go through a special process to qualify, what brokerages have in place now is very adequate. Your proposed new rules would make these products the exclusive trading grounds of
GUIDANCE
SUGGESTED ROUTINGKEY TOPICS
Legal and ComplianceOperationsSenior
ManagementService Bureaus/Providers
Form NMANew Member ApplicationsRule 1012Rule 1013Standardized Online Application Form
New Member Applications
Executive Summary
NASD is issuing this Notice to inform members and applicants for membership of amendments to Rules 1012 (General Provisions) and 1013 (New Member
NASDR has filed with the SEC a proposed rule change to clarify the cover pages of Forms U-4 and U-5.
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2020 FINRA Cybersecurity Conference, and receive access to all conference materials. View the conference brochure for a list of sessions and their descriptions.
Register to View the Sessions
FINRA Member Firms
CRCP Graduates
For registration or
Comment Period Expires: July 31, 1998
SUGGESTED ROUTING
Legal & Compliance
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on a series of National Association of Securities Dealers, Inc. (NASD®) rules that would authorize NASD Regulation Department of Enforcement staff,
Summary
In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of 1934,1 FINRA is issuing this Notice to re-open the comment period for Regulatory Notice 15-13. Rule 15b9-1 currently provides proprietary trading firms with an exemption from membership in a national securities association. If the SEC re-proposal is adopted, the
