(a) Each member shall maintain the following information:(1) for each account: (A) customer's name and residence;(B) whether customer is of legal age;(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of their responsibilities with respect to the account
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Executive Summary
NASD is issuing this Notice to inform
To whom it may concern,
Please reconsider barring regular, low capital investors access to leveraged ETFs.
Regulators should not be involved in an individuals ability to risk their own capital especially when a registered advisor is not involved
Where there is uncertainty, there are always bets—the question is who wins. From horse racing to the price of gold, people have always speculated on uncertainty. Insurance-linked securities (ILS) are financial instruments that allow investors to speculate on a variety of events, including catastrophes such as hurricanes, earthquakes and pandemics.
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a
(a) Requirements for Public Offerings
(1) General
(A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.
(B) Any member acting as a
(a) Requirements for Public Offerings(1) General (A) No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto, including the aggregate amount of underwriting compensation, are unfair or unreasonable pursuant to this Rule or inconsistent with any By-Law or any rule or regulation of FINRA.(B) Any member acting as
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
I am 74 years old and have the majority of my assets under mgt. with two different styled advisors. I have invested in Pro Shares Short S & P 500 ETF for two small accounts (which I oversee) in a very limited and disciplined approach to offset the economic problems caused by the current administration in Washington. I understand the risk, but given the current market conditions,
