In April 2021, FINRA published Regulatory Notice21-17 seeking feedback on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry.
The Neutral Corner - Volume 2—2023
I have used ProFunds for over 20 years now. Proshares inverse and leveragedlong funds have been around a long time and they give me the flexibility to do what I want and invest how I want and they are neat and beneficial and provide clear and non-dangerous opportunities to invest, hedge, and participate in many indexes and sectors of the market. I have helped run a hedge fund that could use short
A majority of my net worth is in Bitcoin. The little that remains in the legacy system hangs by a thread - for tax benefit. Though I ask myself, is it worth it? That I must write to a 3rd party, begging for permission regarding my own money. Is it really our money if we need your permission? Is it really money if it can be printed arbitrarily.
I speak for the many who are waking up to what a scam
Free markets only work if regulation / government intervention does not impede them. Any reason for limiting investor access to any investment vehicle (after providing warning of complexity for novice investors) is likely anti-free market, and definitely government overreach. By allowing certain investors to invest in these funds, and not others, if obviously fraught with issues. The logic
The open market system is important to the U.S.A. It makes socio-economic mobility possible. It makes our country an attractive place for immigrants who also work hard and produce for our national economy. Restrictions to our open market system are effectually discriminatory. While there are so many quantifiable "real problems," restrictions to the open market is not a priority
INFORMATIONAL
New Registration Category-Rules And Examination
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Continuing Education/Testing/Qualification
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When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Dispute Resolution;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange
Summary
In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Combined Uniform Single (FOCUS) reporting and annual report requirements that apply to brokers and dealers pursuant to SEA Rule 17a-52 to take account of security-based swap (SBS) activity. Further, as a result of these changes, to
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-4 Internal risk management control systems for OTC derivatives dealers.
15c3-4(a) An OTC derivatives dealer shall establish, document, and maintain a system of internal risk management controls to assist it in managing the risks associated with its business
