Executive Summary
On August 29, 1996, the Securities and Exchange Commission (SEC) adopted significant market structure rules under the Securities Exchange Act of 1934 (Act) involving the handling and execution of customer limit orders. This Notice to Members is being issued to alert members to these important changes by providing a general description of the new rules and a complete copy of
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On January 30, 1986, the United States District Court for the Eastern District of Arkansas appointed a SIPC Trustee for the above-captioned firm. Previously on January 28, Richard Smith, Esquire had been appointed a Trustee under Chapter 7 of the Bankruptcy Act.
Members may use the "immediate close-out"
Why has this troubling threat of severe restrictions shown up again to damage retail investors- many of whom are middle-class hard-working law-abiding Americans- by trying to take away the ONE SINGLE WAY we have to create decent financial protection and secure retirement for ourselves? The mega-money people in the Wall Street game have their insider information, algorithms, and just-this-side of
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Wednesday, June 22, 1983, the United States District Court for the Central District of California appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on June 21, 1983.
Members may use the "immediate close-out" procedures as provided in
Comments:You will be surprised to see how well we understand leveraged and inverse leveraged ETFs. There is a lot of information on the internet about it and we do our research. Sure, we dont have the connections that the big boys on wall street have or their multimillion dollar accounts but we do understand the markets and the problems with inflation we are having right now.
Besides, even the
(1) The leveraged and inverse funds offered by financial institutes provide excellent investment opportunities and give us financial security. Surely, the investors should aware of their risk and reward. Just like any investment that no investment can guaranty their future performance. However, the regulation should not limit the high potential to have the maximum return. (2) Talking about the
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Free markets are the hallmark of a free society. However, freedom is not a privilege of the few or those with a series 62. It is the right of all to invest in those instruments that meet their financial needs including the ability to hedge. Leverage and hedging provide me a way of allocating capital, managing tax burdens, and stabilizing returns. As a data scientist with an MBA in finance,
Recommend weekly reporting by from financial institutions and made public on stocks shorted and positions held for shorted stocks. Require increase financial penalties in excess of 75% of invested value to errors in reporting shorted positions
I have invested on my own for for 36 years, doing my own due diligence, reading, and using my informed judgement. People make all types of financial decisions such as career choices, where or whether to purchase a home, what type of healthcare they access, the foods they consume, where they travel, etc.- the list could go on for pages. Any mature adult of sound mind can make financial
