Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
I would like to comment on two particular components of 21-19. -"It is possible that the public dissemination of more granular data could discourage short-selling activity, which is an important mechanism for both efficient pricing and for liquidity provision. We also request comment on potential negative outcomes of making this information publicly available on an aggregated basis." -
Testimony of Chairman and CEO, Richard Ketchum, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
OverviewThe following Guidance is to assist applicants as they prepare and submit information and documentation to FINRA for new Mergers and Acquisition (M&A) business. This Guidance is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review.FINRA Compliance Tool DisclaimerThis optional tool is provided to assist
.darkblue-inline-border {
border-inline-start: 5px solid #233E66;
padding-left: 20px;
margin: 30px;
}
FINRA is a not-for-profit, self-regulatory organization dedicated to investor protection and market integrity. Learn how our structure and operations safeguard investors.Regulatory OperationsProtecting investors and safeguarding markets requires constant vigilance
Comments: I strongly support the provision of detailed, useful information about the structure, and past and anticipated future performance of leveraged ETFs, but very much object to limits or prohibitions of individuals' freedom to perform leveraged ETF trades, or to hold onto trades as mid-to long-term investments, especially where a leveraged ETF has a long, documented positive
I am currently a small investor, living off the income I earn actively investing. Leveraged and Inverse Exchange-Traded Funds (ETFs) are an important part of my investing strategy and income.
It has not taken me much time at all to learn how to use Leveraged and Inverse ETFs as part of my investing strategy. Concepts like decay, the effects of leveraging and daily resetting seem as easy to grasp
To Whom It May Concern:
I retired just over a year ago. I had no pension at work nor any other sponsored retirement plan. I had my own investments in both IRAs and non-qualified accounts. My life has not been easy because of divorce and child custody battles, bad economies over the last 20 years, a relatively low income (mostly in the $50-$60 range) and living in high cost of living areas,
Comment Period Expires September 30, 1994
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalLegal & ComplianceTrading
Executive Summary
With the enactment of the Government Securities Act Amendments of 1993, the NASD's regulatory jurisdiction was intended to encompass, among other things, sales practices relating to government securities. In conjunction
