Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities identified as "Specially Designated Nationals and Blocked Persons." In addition to the list, the NASD has included a summary of OFAC's regulations governing the activities of financial
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
As prepared for delivery.
Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
It is my understanding that FINRA is trying to limit peoples ability in invest in leveraged an short leveraged ETF's. Are we being forced to lock in losses on our portfolio? It will be a huge disincentive to invest (raise capital) in American business if investors do not have the ability to be short. Why would anyone be long stocks? The market will go down further with this stupid
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, August 19, 1996. The information relating to matters contained in this section is current as of August 5, 1996. Information received subsequent to August 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Chatfield Dean & Co. (Greenwood Village, Colorado) and Scott
I don't feel the government should be putting restrictions on my right to invest in common public investments. I understand that all investments have some inherit risk and the leveraged funds can be much more risky. I should not have to take a test or prove my net worth in order to be able to take part in these public funds. All of these funds release a prospectus that help investors
SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceOperationsResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 10, the Securities and Exchange Commission (SEC) approved amendments to Schedule D regarding trade reporting for regular Nasdaq® equity securities. The trade
I was made aware this morning of a potential change of policy regarding leveraged and inverse funds access. I am highly disappointed to hear this as I currently utilize both leveraged and inverse funds as part of my investing strategy, especially useful to me in this challenging market.
I don't understand what the back story is on why the FINRA is considering limitation or why this is
I strongly oppose your these unnecessary regulations on inverse and leveraged etf's. Today's investors are very well informed of these and similar investment vehicles and we do not need your meddling in our choices!
You should be looking into ways to better regulate news driven, high speed algorithmic trading where computers key in on pre programed key phrases and can spike or
