FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Department of the Treasury (Treasury) is granting an exemption from the haircut treatment for written mortgage-backed options under Section 402.2a of the Treasury regulations implementing the Government Securities Act of 1986. Treasury
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that their participation in certain transactions with blind-pool companies may be inconsistent with the provisions of Schedule E to the NASD By-Laws. The merger or acquisition of an NASD
All capital acquisition brokers are subject to FINRA Rule 1240.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 1220.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the third quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
84-36
July 18, 1984
Request for Comments on
Leveraged ETFs, including inverse funds are an important tool to everyday retail investors to hedge their assets and to increase their chances for successful investing and trading. These funds give the small investor an opportunity to compete with the big brokerage firms in a highly manipulated market, often fueled by high frequency trading of stocks, bonds, and options. I strongly reject the
I have been responsibly investing for years with a complex and diverse portfolio that I base on my own personal risk tolerance. At times, this means I may include products like leveraged or inverse leveraged funds in my portfolio, as they can be effective tools to gain exposure to certain sectors, or conversely to hedge against a downturn in a sector. Of course, as with any investment decision or
Any restriction of investable assets has a large, negative affect on not only retail investors, but investors of IRA's and other retirement vehicles. Ever since the proliferation of online investing, the average American, and non-citizen has seen an unparalleled opportunity for wealth creation.
I was born into a meager household, but due the vast array of equities that I am able to trade
