COMMENTS ON 22-08 You have made this request for comments so complicated that it is hard to follow. I will just list my ideas and you can try to sort them out. On my trip from model airplanes to airline captain I have made many replies that affected new FARs. This a free country and everyone should be able to risk some $ and try to make more $. This should include hedge funds, but limited to a
Hello, I am a retail investor who regularly buys and sells leveraged index fund products. I trade these funds based on a strategy I have developed with great research and care, and know full well the risks involved. Leveraged index funds provide retail investors access to position-sizing and diversification strategies that would be too onerous for such investors to implement themselves.
Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Guidance on FAS 167 for FOCUS Reporting
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
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Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
OverviewThe following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
TO: All NASD Members and Other Interested Persons
FROM: Options Committee of the NASD Board of Governors
The June 19, 1987, expiration of index options and futures contracts, in addition to being a quarterly expiration, will be unique in that it will mark the first time that the settlement prices of the various stock indices will not be uniformly based on the closing price, of the
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders
