(a) A member shall process and forward promptly all information as required by this Rule and applicable SEC rules regarding a security to the beneficial owner (or the beneficial owner's designated investment adviser) if the member carries the account in which the security is held for the beneficial owner and the security is registered in a name other than the name of the beneficial owner.
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Investments that I've personally picked have been better performing than those of financial advisors. I have an MBA in Finance and am educated enough to make my own financial decisions.
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
Yield is a general term that relates to the return on the capital you invest in a bond. Price and yield are inversely related: As the price of a bond goes up, its yield goes down, and vice versa. There are several definitions that are important to understand when talking about yield as it relates to bonds: coupon yield, current yield, yield-to-maturity, yield-to-call and yield-to-worst.
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill three upcoming vacancies on the National Adjudicatory Council (NAC). The
I would like the option of having all financial tools available to me in order to make the best possible decisions regarding my financial well being. This includes being able to use leveraged and inverse funds
I strongly oppose regulations that would limit my ability to invest in inverse funds, and to a lesser degree leveraged funds. Financially, this is censoring my ability to invest in financial trends as I see them.
Freedom of choice in investments for individuals is paramount and puts the power back in the hands of citizens instead of the monolithic financial industry. Please support us to maintain the tools to adequately construct our own financial futures.
As an investor I should be able to make my own investment decisions without any oversight from regulators. I educate myself before I make any financial decisions. Stay out of my financial well-being.
