Thank you for the invitation to speak and thank you all for coming today.
The first Annual Meeting of the Financial Industry Regulatory Authority (FINRA) members will be October 26, 2007.
The formal notice of the meeting, including the time and location, will be mailed on or about September 21, 2007. The individuals nominated by the former NASD Board of Governors and/or the Board of Directors of NYSE Group, Inc. for election to the FINRA Board of Governors (FINRA
SEC Proposed Rule #S7-24-15 is unnecessary and prohibitive. Levered ETF's are a great way to invest and people who use them know the risks and rewards. Investors are not stupid and understand leverage. You do not need to place obstacles in the way of anyone who chooses to use levered ETFs in their portfolio. The SEC should not have the right to tell me what investments are or are
Regardless of what (if any) action is taken on this notice, the decision to invest must be with the investor. Limiting retail traders' use of complex instruments represents a dangerous slippery slope. I'm all in favor of curbing advertisements for these products. Likewise, leveraged products should provide clear disclosures detailing their risk profiles and internal workings.
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
Update to Security Futures Risk Disclosure Statement and Supplement
Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
The rules around Failure to delivers (on short selling) for larger organizations (namely citadel securities and others), is giving them a way out to continue to drag down companies and squeeze out retail investors. The market does not function the way it should with the hand tipped to the market maker. The market maker is also the one funding the media outlets, may own assets in 'educational
Comment Period Expired: March 31, 2017
Last Voting Date: January 31, 1994
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceMutual Fund
Executive Summary
The NASD invites members to vote on a revised proposed amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice to exempt money market mutual funds with asset-based sales charges equal to or less than .25 of 1% of net assets (or 25 basis
