There are two FINRA/Nasdaq Trade Reporting Facilities: FINRA/Nasdaq Trade Reporting Facility Carteret and FINRA/Nasdaq Trade Reporting Facility Chicago. As used in the Rule 7200A Series, the term “FINRA/Nasdaq Trade Reporting Facility” means either the FINRA/Nasdaq Trade Reporting Facility Carteret or FINRA/Nasdaq Trade Reporting Facility Chicago, as applicable, depending on the facility to which
Stop trying [REDACTED] with retail investors! Enforce the rules on short hedge funds, stop dark pools and naked shorting. Retail has removed hedge funds from operating and we can remove your agency as well. Retail ain't nothing [REDACTED]
Dear regulators, it is very important for me to have the freedom to use inverse and/or leveraged ETF's in real time and on a minutes notice, as part of my IRA account strategies. Without it, my retirement would be in jeopardy. I strongly oppose the proposed rule. Thank you.
It is not fair to impose restriction on leveraged and inverse ETFs for most citizens. Under the new rule, people need to demonstrate a high net worth in order to invest. This is definitely discriminating as it treats investors differently based on social status. It favors high net worth individual.
I disagree with proposed rule. Leverage is a good thing. The issue is with over leverage. Everyone with proper literature and clear english text should be allowed to buy and sell security of their choice. Define which educated or a person who has passed a test shown skills in trading.
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Executive Summary
On March 17, 1994, the Securities and Exchange Commission (SEC) approved amendments to the NASD Rules of Fair Practice to: (1) require filings of investment company advertisements and sales literature that incorporate mutual fund rankings to include a copy of the ranking or
Comment Period Expires July 16, 1999
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WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement. During her time as Head of Enforcement, FINRA brought numerous significant disciplinary actions to protect investors and markets, including its largest-ever enforcement action; prioritized returning money to harmed
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The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
The amount of naked shorting and failure to delivers in the market currently is absolutely unacceptable. Please make a change to the rules we're short positions and make it short positions have to be reported daily.
