FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
Complex products (ex: leveraged ETFs) are already limited in several wise ways. Limiting the leverage available to 3x is a good policy. However, completely gatekeeping who can access these products would simply increase inequality and unnecessarily increase costs for consumers. Gatekeeping access to all these complex opportunities would be akin to providing the unearned rent seeking through
NASD Will No Longer Impose Censures For Some Violations
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Customer Account Statements
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
To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
As I see it, the current US market is full of nothing but fraud and blatant manipulation, with regulatory agencies doing nothing to police it to the point of them being complicit in these actions as well. They are complicit through their complacency, with years of unchecked fraud and market manipulation in several ways. Naked short selling by large hedge funds like Citadel, point72 and Melvin
Public GovernorRetiredGovernor Since 2018Committees: Audit & Risk Committee (Chair), Compensation & Human Capital Committee, Conflicts Committee, Executive CommitteeProfessional ExperienceExecutive in Residence, Christopher Newport University (2015 – 2018)Executive Vice President, Operations and Technology, TD Canada Trust (2011 – 2015)Executive Vice President, Human
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
Comment Period Expires May 31, 1999
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<p>NASD Rule 2110 - Standards of Commercial Honor and Principles of Trade</p>Member whose firm will cease to exist upon merger with an acquiring member that does not generally offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail accounts to a broker-dealer affiliate of the acquiring member.
