While I understand the SEC's concern to protect potential investors, straightforward access to leveraged and inverse funds are an important part of many, including my own, investment strategies. I have an extensive long portfolio and I use leveraged and inverse ETFs to hedge my long positions. This has been especially helpful to my bottom line in these recent volatile market sessions.
ACTION REQUIRED
Renewal fees for the year 2000 for all participating regulators are due NO LATER than December 10, 1999.
Broker/Dealer And Agent Renewals
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Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
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On July 19, 1995, the Securities and Exchange Commission (SEC) approved new NASD Mediation Rules (Rules) to take effect August 1, 1995. The new Rules provide a structure for the NASD to administer a Mediation Program as an informal and less adversarial alternative to
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9100.
To Whom it May Concern, Thank you for requesting comments on this matter. I believe short interest and short sale reporting plays a major part of our current financial structure. Such a major role, that it is surprising how lax the overall rules are governing this aspect. I'm as smooth brain as they come, but I truly believe in clear and open transparency to the public is a way to help
Don’t trust that unexpected text or direct message from a stranger—it might be the first step in a “pig butchering” scam. These scams often involve fraudsters contacting targets seemingly at random, then gaining trust before ultimately manipulating their targets into phony investments and disappearing with the funds.
The Neutral Corner - Volume 1—2023
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On July 12, 1994, the Securities and Exchange Commission (SEC) approved amendments adopting Guidelines to Article III, Section 35 of the NASD Rules of Fair Practice that prohibit members from using investment company rankings in advertisements and sales literature unless
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The Securities and Exchange Commission (SEC) has adopted amendments to certain rules under the Securities Exchange Act of 1934 (Act) that apply to transactions in low-priced securities traded in the over-the-counter market. Specifically, the SEC amended Rule 15c2-6, which makes it
