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The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
I am currently a small investor, living off the income I earn actively investing. Leveraged and Inverse Exchange-Traded Funds (ETFs) are an important part of my investing strategy and income.
It has not taken me much time at all to learn how to use Leveraged and Inverse ETFs as part of my investing strategy. Concepts like decay, the effects of leveraging and daily resetting seem as easy to grasp
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations under Rule 1017.
(b) "Associated Person"
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Effective Date: April 16, 2001
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NASD Rule 2340
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NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of
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I am very disappointed how financial regulators are trying to take away power of individual investors to freely invest in public ETFs - leveraged or inversed - which are listed in the public market because they were approved by financial institutions. Yet, the same financial regulators do not place any restrictions on investing "professionals" who short the market or individual
Comment Period Expires May 31, 1999
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Hello,
As someone who has used leveraged ETFs quite successfully over many years I absolutely do not support any additional regulations or restrictions on individual investors using leverage, futures, options, or any other manner of "complex" instruments as part of a self-directed investment strategy.
I actively researched and educated myself on these financial instruments
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
