Dear SEC Officer:
Leveraged funds are important to me, and they allow me to seek enhanced returns and help protect my investment portfolio. I am capable of understanding the leveraged funds and their performance, and do not want a third-party evaluating my capability to do so and potentially preventing me from buying them. I want to preserve the long-standing free public markets where investors
Leave the citizen out of your screw up. We didn't make it. When you took office the economy was booming and you couldn't stand it,so you had the nerve to put us in terrible fix and you don't know how to get out of it. That's all the Dumbrats know how to fix it. Sick of it. Hope you lose the election in November in a land slide, so America can become a great
Summary
The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.
The amendments are effective for cases filed on
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Executive Summary
Effective January 1,
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
January 2011 Supplement to the Options Disclosure Document
The Neutral Corner—Volume 3, 2021
Mission Statement
Avoiding Confusion and Delays When Resolving Motions to Dismiss (by Matthew Kipnis, FINRA Extern)
Bits, Bytes and E-Discovery Fights (Part III) (by Lisa Miller, FINRA Arbitrator)
Using Arbitration Hearing Scripts (by Narielle Robinson, Senior Case Administrator, FINRA Mediation)
FINRA Dispute Resolution Services and FINRA News
TRACE Reporting of OTC Transactions in Listed Bonds
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
