I would like to let the FINRA Regulators know that I would appreciate you not changing the rules of investing in leveraged funds. I have been successful in my past investments with Proshares TQQQ. If you change the regulations you would be depriving me of my livelihood. I also have a large amount of money invested in TQQQ at this time and if you change the rules you could cost me a lot of money.
I would like the freedom and ability and the chance and opportunity to determine my future. My financial future. My family trees future. I have studied leveraged funds. I understand the risks. The rewards. And the government should not determine what investments the rich can make. And what investments the poor can make. If there is one set of rules for the rich, and another set of rules for the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
Summary
FINRA alerts members to an emerging threat to customers and members, where FINRA, NASDAQ and NYSE have observed initial public offerings (IPOs) for certain small capitalization (small-cap) issuers listed on U.S. stock exchanges that may be the subject of pump-and-dump-like schemes (sometimes referred to as "ramp-and-dump" schemes in other jurisdictions).1 FINRA has observed
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
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
INFORMATIONAL
Exchange Act Rules 11Ac1-5 And 11Ac1-6
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Disclosure of Order Execution and Order Routing
Exchange Act Rules 11Ac1-5 and 11Ac1-6
Executive Summary
NASD Regulation Inc. (NASD RegulationSM) is issuing this Notice to Members to inform members about
The only thing this rule does is protect the investor/white collar class and restrict the freedom of small investors that have an education, such as a double major in banking and financial institutions (like me), but not cooperate sponsorship nor high net worth. They're going to have all of the resources to meet those requirements, which means they're most likely to be irresponsible,
INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Internal Audit
Legal & Compliance
Municipal/Government Securities
Senior Management
MSRB Rule G-37 Exemptions
Political Contributions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC
NASD has filed with the SEC a proposed rule change to Schedule A to NASD By-Laws to amend its member regulatory pricing structure. Under the current structure, three types of fees and assessments are used to fund NASD’s member regulatory activities: Regulatory Fee, Personnel Assessment, and Gross Income Assessment (GIA). The proposed restructuring is comprised of four important amendments: 1)
