INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Columbus Day: Trade Date—Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the
Once again, I have been Informed by ProShares that further restrictions are being considered on leveraged and inverse exchange traded funds. As I stated previously, these are among the best vehicles available in the market. I have made my living as an individual investor since February 1980. As I also stated, I have now used these vehicles for more than a decade and they have been consistently
These comments are in regard to FINRA's Regulatory Notice 22-08 request for comments.
I am a non-professional, active investor who monitors and manages my personal portfolio every day. As such, it is important to allow active investors like myself to make their own determination of what products to use at what time to achieve their financial goals. Individual investors, not regulatory
I am strongly opposed any additional regulations to leveraged and inverse securities. All investments have an element of risk; by requiring a list of pre-requisites to trading these securities, you decrease the investor base with access which could add to increased volatility as well as making the acquisition and disposition of said securities much more difficult. Additionally, further
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Columbus Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the
INFORMATIONAL
Series 55 Examination
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registration
Trading & Market Making
Training
Series 55 Examination, Equity Trader
Executive Summary
The requirement for Nasdaq® and/or over-the-
Executive Summary
FINRA has adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them.1 The new rules:
allow a Hearing Officer to impose conditions or restrictions on the activities of a Respondent member firm or Respondent associated person, and require the member firm employing a Respondent associated person to
What makes the American Financial Markets so exceptional is they are the most innovative markets on earth. What this means is anyone with sound knowledge about a product is willing to take the risk only because such products are available and they trust the provider of those products to do the right thing to closely mirror the benchmark index as much as possible. If you take out access to these
Remarks from the Bond Dealers Association Annual Conference
INFORMATIONAL
Imposition Of Censures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
NASD Sanction Guidelines
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
In July 1999
