Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate
Short selling of stocks, payment for order flow (PFOF) and Dark Pool trading should be banned completely. Shorting was banned by the SEC during the 2008 financial crisis and it has been banned in several markets worldwide. Shorting has caused promising companies to disappear due to naked shorting, manipulation and corruption that is rampant and obvious with no rule or law enforcement. Full
I oppose this new rule. Please do not limit individual investors' access to "leveraged and complex products"
Hello, First of all any rule changes should effect at least after 12 months (maybe 24 months) to be fair for the investors. We are using these funds generally to protect (hedge) our investment or sometimes to gain in a short time. We know the risk of the any investment which we are investing. So, actually/generally I oppose restrictions on my right to invest in public investments. Rules should
My concern is how this rule would affect leveraged and inverse leveraged fund (TQQQ, SPXL, SH, etc.) - These fund allow me to obtain a desired exposure with a smaller capital commitment, freeing this capital for retirment expenses withdrawal without the need to sell anything. - These funds allow me to hedge existing positions in a simple, understandable way. - My brokerages do an excellent job
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
Hi, I oppose the SEC Proposed Rule #S7-24-15. I feel this rule would only serve to further divide the wealth gap that already exists in this counrtry, as it would make it more difficult for investors such as myself, with a lower net worth, to take advantage of leveraged funds in order to enhance capital gains. While I certainly don't think it would be wise or safe for any investor to insvest
The proposed rule will negatively impact many investors that don't meet the qualifications. The rule will only benefit the wealthy. Making qualifications on how people can spend their own money benefits only the rich and opens up channels of discrimination. I currently use a 3x leveraged inverse fund to hedge my portfolio. If the "demonstrate high net worth" is the same as the day
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
