Inside directors of broker/dealers must register as principals if they wish to participate in the day-to-day conduct of members' securities businesses and the implementation of corporate policies related to such businesses.
Outside directors of broker/dealers must register as principals if they wish to participate in the day-to-day conduct of members' securities businesses and the implementation of corporate policies related to such businesses.<br/>
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Please allow my research and judgement to decide the best investment vehicles for my money. All tools require effort and time to learn. None are more complex than others. ETPs like Inverse ETF funds go the opposite direction of a benchmark. How is this difficult to understand? In fact, in my ROTH IRA this is the safest means to hedge against the market going lower. I don't want to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 17, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,775. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
RE: Restrictions on Leveraged and Inverse ETFs
We know that these investment vehicles are legal, so restricting access is basically unethical and corrupt. If these investment vehicles are open to some, then they should be open to all. The proposal includes language about needing to pass a FINRA exam to invest. Scarry Part is the fact that other investment vehicles could become restricted as
I am a simple accountant from Long Island, NY. I have been investing in inverse ETF's for 13 years. In 2009 I left a low paying job as a tax auditor for the Pennsylvania Department of Revenue. They cashed out my accrued pension benefits, which were worth $6,500. I deposited this money into a traditional IRA rollover account with a broker in February 2009. I invested 20% of the
This un levels the playing field so large wealth and insiders can get the largest reward on new and yet untested investment opportunities. To have wealth, is to always have an advantage for more wealth. This is unfair and difficult for minimally wealthy investors to have a similar chance at getting the best returns for getting in early. This effort is on the surface to keep small investors
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
Exchange Act Sections 3(a)(10), (12), (29) and (42)
FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710
NASD Rules 1021, 1022, 1031, 1032 and 1050
SEA Regulation NMS
