WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
My concern is how this rule would affect leveraged and inverse leveraged fund (TQQQ, SPXL, SH, etc.) - These fund allow me to obtain a desired exposure with a smaller capital commitment, freeing this capital for retirment expenses withdrawal without the need to sell anything. - These funds allow me to hedge existing positions in a simple, understandable way. - My brokerages do an excellent job
Please do not restrict my ability to invest in inverse funds. I don't want my only choice to be long the market or out of the market. The government policy of setting artificially low interest rates for far too long leaves me little choice. My retirement savings is being eaten away by inflation, whether inflation is high or inflation is low. I need the same investment options available to me
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering of a registered securities exchange for certain allocations as part of its issuer-directed share program.
December 3, 2004
Dana G. Fleischman, Esq.
Cleary, Gottlieb, Steen & Hamilton
One Liberty Plaza
New York, NY 10006-1470
Re: Request for Exemption from Rule 2790
Dear Ms. Fleischman
I feel this message will go no where, but I am writing this email to just have a voice in what is going on with AMC Stock. I invested in AMC to let Hedge Fund know you can make money if a company decides to go Bankrupt, but when a company as GME, AMC go broke because of a Pandemic which affected the whole entire Businesses World. I feel it is poor judgement to force a company to go broke by
What good is regulation if there is no enforcement? For far too long, market makers and institutions have been playing the game with their own rules whilst stealing money from the American public. How can this possibly be a free market with the lack of transparency and open manipulation that occurs in the stock market every day for the past several decades? There are a number of things that need
I am new to retail investing/trading but what I’ve witness with GME and AMC really opened my eyes to how corrupt and fixed the markets are. The mainstream media I used previously to help make decisions, has been 100% controlled to influence retail investors in a pure evil way. This is about as easy as it gets to see the manipulation. This manipulation is throughout the entire process with naked
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 30, 1988.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to Schedule E to the NASD By-Laws relating to the definition of a qualified independent underwriter. A qualified independent underwriter is required by Schedule E to establish the price and conduct due diligence in public offerings of
Sec. 5.8 Any or all of the members of the National Adjudicatory Council may be removed from office at any time for refusal, failure, neglect, or inability to discharge the duties of such office, or for any cause affecting the best interests of the National Adjudicatory Council the sufficiency of which the FINRA Board shall be the sole judge, by majority vote of the FINRA Board
