I strongly oppose limiting access to public securities for the select few who pass unnecessary tests. The public is perfectly capable of reading and understanding a prospectus and the associated risks and making wise investment decisions for themselves and their families. The securities under consideration for additional regulation such as leveraged and inverse funds are a key strategy to my
I am an adult. I, not regulators, can decide what investments are right for me. No tests or proof of a "high net worth" are necessary to determine the appropriateness of where and how I invest my money. Why should only the wealthy have the freedom to invest their funds as desired? My success in investing in leveraged and inverse funds is important to my overall financial strategy, and
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 17, the National Market System will include 881 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
What is Gson? Gson is a Java Library widely used to convert Java Objects into their JSON representation and vice versa.
The following lists of the ten most active investment grade, high-yield and convertible corporate bonds is published for each market day. Please refer to Systems Calendar.
The Communications with the Public topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Greetings, I eagerly support FINRA's step toward a transparent system. I also ask that synthetic long positions generated through reverse conversion of options be tracked as well, it appears there's a direct correlation between that number increasing and FTDs decreasing.
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
I should be able to choose, I have been choosing for myself for 4 yrs and nothing has happened to me, I spend this new money and file my taxes on it. Have I lost some money from bad projects yes, but that was my choice, but I have make more that I lost, I have gained 80% and lost 20% and I am okay with that because I learned to do my home work on my investments, see want the project is solving
