How dare you even think about making it more difficult for the general public to save for retirement. That you lump inverse funds along with leveraged funds is particularly damaging; you want the general public to try shorting stocks, really? You think that's less difficult than buying an inverse fund? Inverse ETFs are extremely important to my own trading, and have saved me more than
Comments: I do believe having transparency is important. Regulators have done great things in the past to clarify concepts that a layman does not interact with regularly. Thanks to regulators, banks have to disclose APR's with clients, ensuring that the risks are fully understood. However, I feel that this level of scrutiny is unwarranted, biased, exclusionary, and has an unfair impact
FINRA Rule 4111 (Restricted Firm Obligations) addresses risks from broker-dealers with a significant history of misconduct, including firms with a high concentration of individuals with a significant history of misconduct. The rule allows FINRA to impose new obligations on broker-dealers with significantly higher levels of risk-related disclosures than other similarly sized peers, based on
SummaryFINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:a description of responsibilities for the various groups;an overview of each elected vacancy to be filled in 2024; anda summary of how eligible individuals can become candidates for
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved amendments to Appendix F under Article III, Section 34 of the NASD Rules of Fair Practice regarding members'
Are you considering exchanging a variable annuity that you currently own with a new one? Replacing one variable annuity with another should involve an analysis and comparison of the complex features of each security. You should exchange your annuity only when it is the smartest move for you.
December 19, 2002
NASD began posting each member's NASDAQ Execution System Order/Route Matching statistics on the OATS Web interface on November 1, 2002. These statistics reflect the percentage of OATS Route Reports and/or Combined Order/Route Reports with a Routing Method Code of "U" (SuperMontage) or "L" (SelectNet) that OATS was able to link to the related order in
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
Registration
To register, complete the online form for Week I Registration and/or Week II Registration.
Online registration closes seven days prior to the start of each course. If you experience difficulties registering, please call (800) 321-6273 or contact us via email.
You will receive an email confirmation of your registration shortly after completing the form.
Payment Options
