Comments: Back in the 1990s when I started it was quite common for people who wanted to trade leveraged diversified products to establish a mutual fund account at Rydex (now part of Guggenheim). There were other products which were similar at the time though I think most have closed. The most popular trading were the Fidelity Select funds which had a 3% load specifically to allow for more rapid
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
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On June 29, 1994, the Securities and Exchange Commission (SEC) approved a proposed Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that
July 9, 2004
Below are the order report formats for the New Order Report, Execution Report, Combined Order/Route Report and Combined Order/Execution Report, which will be effective in the OATS Testing environment on September 20, 2004 and in the OATS Production environment on October 4, 2004. Further details will be forthcoming in the OATS Reporting Technical Specifications. If you have any
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
TO: All NASD Members and Interested Persons
Listed below is the NASD's 1984 schedule of holidays.
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New Year's Day Observed
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Washington's Birthday Observed
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FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
In 2021, considerable industry, and in some cases public, attention was focused on topics that FINRA also addressed through its exam and risk monitoring program. These topics include newer SEC Rules (e.g., Regulation Best Interest (Reg BI), Form CRS, amendments to Rule 606), recent increases in the number and sophistication of cybersecurity threats, and the proliferation of securities trading
Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s adjudicatory forum for disciplinary and
SummaryFINRA seeks comment on a proposed new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside activities of member firms’ associated persons, including registered persons (the Proposal). The Proposal is the result of FINRA's retrospective review of FINRA's rules governing outside business activities (OBAs) and private securities
