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Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
May 2, 2003
Below are the order report formats for the New Report, Cancel/Replace Report, Combined Order/Route Report, Combined Order Execution Report, Route Report, and Execution Report, which will be effective in the OATS Testing environment on July 14, 2003 and in the OATS Production environment on July 28, 2003.
New Order Report
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M/C
SEC Approval and Effective Dates for New Consolidated FINRA Rules
The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay a non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 12402(c) or Rule 12403(b), as set forth in the schedule below.
Process Fee Schedule
Amount of Claim
(exclusive of interest and
Obama make the comment that most Americans are too simple minded to govern themselves. It made many of us who heard it furious. The fact is you have stolen our power away from us. We dont feel that our government was supposed to get so large. Yall did it to protect yourselves from the people you work for and to cover things yall do. The tax payers are now burdened by big government and we think
To price Americans out of investing instruments or to impose any measures that keep retail investors from accessing investment instruments is just about as un-American as it gets. Many investors, myself included, find leveraged and inverse ETFs as unique opportunities to obtain margin without needing a margin-enabled account or without taking on direct debt to invest in the stock market.
Retail
I understand that regulators are interested in restricting my ability to invest in certain investments.
With the plethora of information on the internet and other places, I firmly respect an individual's right and responsibility to invest as one feels appropriate for their needs.
I have, and am using leveraged and inverse funds as a way to hedge against wild market swings - such as we
I understand that regulators are interested in restricting my ability to invest in certain investments.
With the plethora of information on the internet and other places, I firmly respect an individual's right and responsibility to invest as one feels appropriate for their needs.
I have, and am using leveraged and inverse funds as a way to hedge against wild market swings - such as we
