FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
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.
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading
Registered Representatives
Senior Management
Trading Activity Fee
NASDAQ Exchange Registration
Executive Summary
On July 5, 2006, The NASDAQ Stock Market, Inc. ("NASDAQ")
announced that it would begin to operate as a national securities
exchange on August 1, 2006 for NASDAQ-
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to the definition of "Executive Representative" that are intended to better assure proper communication with members on important matters.
The problem with anybody investing in anything is that, almost tautologically, a large fraction of the financial crises over the last 800 years arose from over investment in unfamiliar financial vehicles.
https://www.amazon.com/dp/B004EYT932/ref=dp-kindle-redirect?_encoding=U…
Elisabeth Craig is Senior Vice President & Deputy, FINRA, Credentialing, Registration, Education and Disclosure (CRED), responsible for oversight of registration functions and testing and continuing education.
Prior to joining FINRA, Elisabeth was employed as Counsel with DCS Advisory, an investment banking firm, where she focused on all aspects of legal and compliance matters. Elisabeth
Sec. 4.10 The Board may adopt such rules, regulations, and requirements for the conduct of the business and management of FINRA Regulation not inconsistent with the law, the Restated Certificate of Incorporation, these By-Laws, the Delegation Plan, the Rules of the Corporation, or the By-Laws of FINRA, as the Board may deem proper. A Director shall, in the performance of such Director
