I have been using inverse/leveraged funds for over 7 years now. When I started I was new to trading. I did all the research on the funds as that was my responsibility as a trader. The brokers I use all explained in great detail the risks of trading these types of funds.
Everyone should have the right to trade these types of investments. It should not be based on how much wealth you have.
The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
FINRA is aware of the Log4J vulnerability and has taken immediate steps to neutralize the risk. The mitigation tactics deployed by FINRA include defining alerts for exploit attempts, implementing web application firewall (WAF) rules designed to prevent exploitation of the vulnerability, conducting scans to confirm WAF rules are working as expected, and beginning to update Log4J libraries
I don't like the rule. Don't do it, please.
Please stop proposed rule #s7-24-15
Proposed Rule Change Relating to Statutory Disqualification Application Fees
Frequently asked questions related to OATS reporting requirements to OTC equity securities.
Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
Last Voting Date: September 27, 1993
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Systems
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Noticeto clarify the application of the Association's Limit Order Protection Rule (Conduct Rule IM-2110-2) in
