Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Dear Sir/Madam, I work as an R&D Engineer, and consider myself a middle class American. I frequently invest in ProShares UltraPro Short QQQ ETF, symbol SQQQ, and ProShares UltraPro QQQ, symbol TQQQ. These funds give me great flexibility in meeting my long term investment goals. I am well informed of exactly what these funds offer, and am able to incorporate them into my investment
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make permanent the portfolio margin pilot program set forth in NASD Rule 2520(g) and Incorporated NYSE Rule 431(g).
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2210 (Communications with the Public) and 2211 (Institutional Sales Material and Correspondence) and Incorporated NYSE Rule 472 (Communications with the Public) to define market letters as correspondence rather than as sales literature.
Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
SR-FINRA-2009-028 - Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 20, 1992, the following 30 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,956:
Symbol
Company
Entry Date
SOES Execution Level
EZEMB
E-Z-EM, Inc. (Cl B)
10/27/92
1000
HALO
HA-LO Industries
Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 15, 1990, the following 20 issues joined NASDAQ/NMS, bringing the total number of issues to 2,667:
Symbol
Company
Entry date
SOES Execution Level
