I oppose the proposed rule regarding leveraged and inverse funds. I am fully capable of deciding for myself whether these funds are appropriate or not. Such instruments are important to my investment strategies, and it should not be the role of government to limit choices made by investors.
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Proposed Rule Change to Revise the Series 6 Examination Program
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
Hedge funds selling synthetic shares should be scrutinized and rules should be such that the naked shorting or synthetic shares should be made unavailable.
To keep it simple, shorting rules and regulations need to be updated and brought up to speed. Reporting should be done faster and more efficiently.
Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Proposed Rule Change to Revise the Series 16 Examination Program
SR-FINRA-2008-035 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the
Series 14 and Series 16 Examinations
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
