I understand and have been trading leveraged funds for a few years and do not need to have the rules changed years after making it available to me. The leverage is not anywhere near the leverage on options and these do not expire like options do.
By implementing rules that are so easily maneuvered you’re at best turning a blind eye to naked shorting (fraud) and at worst facilitating fraud and the demise of the trust in American Institutions.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the duties
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Introducing Broker-Dealer Financial and Operations (Series 28) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Financial and Operations (Series 27) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Direct Participation Programs (Series 22) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better
Enhanced reporting on short sales in a timely manner is long overdue. These new rules can and will create a healthier market, far from perfect, but better than yesterday.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to require members to report all transactions that must be reported to NASD and that are subject to a regulatory transaction fee pursuant to Section 3 of Schedule A to the NASD By-Laws to the Nasdaq Market Center ("NMC") and/or the Trade Reporting and Comparison
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) amend NASD rules to modify and expand NASD's authority to initiate trading and quotation halts in over-the-counter ("OTC") equity securities; and (2) adopt IM-6660-1 to identify certain factors that NASD may consider in determining, in its discretion
