SUGGESTED ROUTING:*
Legal & ComplianceOperationsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
I need to buy leveraged ETF such as QLD and TQQQ in order to achieve my financial retirement plan goal. Please provide me the opportunity to buy leveraged ETF for me and my family's future.
Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission. Members must
Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission. Members must
(a) If an ADF Trading Center exceeds its Certified Peak Transaction Volume in one or more categories on one or more days in a given calendar month, the following excess capacity usage fees will apply:
Level
Percentage Exceeded
1 – 2 days
3 – 5 days
6 – 10 days
>10 days
1
<25%
N/A
$250
$500
$750
2
25% – <50%
$250
$500
$750
$1,
A plan like this will cost me tens of thousands of dollars as it will tank my current investment.
I have a BA in economics and I'm an accredited investor.
With leveraged products unskilled and uneducated investors are disposed of quickly by the market.
(a) Interested FINRA Staff
Except as counsel or a witness in a proceeding or as provided in the Rule 9550 Series, Interested FINRA Staff is prohibited from advising an Adjudicator regarding a decision or otherwise participating in a decision of an Adjudicator. An Adjudicator is prohibited from advising Interested FINRA Staff regarding a decision or otherwise participating in a decision
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
A self-directed individual retirement account (IRA) is an IRA held by a custodian that allows investment in a broader set of assets than most IRA custodians permit. Custodians for self-directed IRAs may allow investors to invest retirement funds in “alternative assets” that have unique risks, including a lack of information and liquidity—and the risk of fraud.
The FINRA Board of Governors meets this week in Washington, DC. Read President and CEO Robert Cook’s email to firms previewing the agenda.
