If law makers impose limits on my current rights to buy inverse funds, law makers will be DRASTICALLY reducing my income earning ability. Inverse funds have kept me afloat during these especially turbulent times in the market, inverse funds allow me to generate income in both directions of market movement. I've already lost 75% of earnings from my small business, which I've had for 18
I can make my own decisions, thank you very much. I can limit my exposure by choosing not to purchase, purchase a small amount, or as much as I want. As a former banker, somewhat successful businessman, and a veteran, I believe I understand risk better than any government employee, who enjoys a risk less salary, risk less retirement, risk less employment, risk less tenure and benefits that exceed
I not regulators should be able to pick the investments that are right for me and my investment strategies. This is another regulatory overreach that serves the institutions and not the public, it should never be accepted. I do not need to be patronized by FINRA or any government institution on how I invest. It is those same dumb and shortsighted limitations that are driving social security into
FINRA Rule 5310 (Best Execution and Interpositioning) requires that, in any transaction for or with a customer or a customer of another broker-dealer, a member and persons associated with a member shall use reasonable diligence to ascertain the best market for the subject security, and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions.
NASD Will No Longer Impose Censures For Some Violations
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
The Anti-Money Laundering, Fraud and Sanctions section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Transactions made on Monday, October 14, Columbus Day; Tuesday, November 5, Election Day; and Monday, November 11, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Listed below are the 25 NASDAQ National Market System (NASDAQ/NMS) securities which have been selected as the first group of issues to trade in the Small Order Execution System (SOES) developed and operated by NASD Market Services, Inc. In SOES, agency orders of 500 shares or less received from public customers may be executed
