I am an individual investor, responsible for investing for my own family and retirement. I'm investing in PUBLIC investment vehicles, that currently are (and should REMAIN) available to any investor, and not just privileged hedge fund managers.
I DO NOT consent to having to take or pass any special exam in order to invest a security, which by definition is an act of risking capital in
I am a simple accountant from Long Island, NY. I have been investing in inverse ETF's for 13 years. In 2009 I left a low paying job as a tax auditor for the Pennsylvania Department of Revenue. They cashed out my accrued pension benefits, which were worth $6,500. I deposited this money into a traditional IRA rollover account with a broker in February 2009. I invested 20% of the
When it comes to retirement savings, even the most adventurous seniors may consider something routinely described as "plain vanilla": a fixed immediate annuity. With an immediate annuity, the investor pays an insurance company a lump sum in exchange for regular income payments. Both fixed and variable immediate annuities deliver income quickly, but there are differences.
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NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
A diversified portfolio tends to be harder to achieve than simply following the mantra to avoid putting all of your investment eggs in one basket. This basic strategy can help, but it is often not enough to avoid concentration risk—the risk of amplified losses that may occur from having a large portion of your holdings in a particular investment, asset class or market segment relative to your overall portfolio. Learn more about concentration risk and read tips on how to manage it.
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
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On Friday, February 19, 2021, FINRA introduced a new Historical Data API via the FINRA API Developer Center (developer.finra.org). The OTC Transparency Weekly Summary will be the first dataset available via the Historical Data API and will be named WeeklySummaryHistoric. This change is designed to facilitate those API users who are downloading large amounts of historical data
Among the many opportunities available to investors are those involving “crowdfunding.” Crowdfunding generally refers to the use of the internet by small businesses to raise capital through limited investments from a large number of investors. Crowdfunding investments carry significant risk, and you can lose some or all of your investment.
