SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundTraining
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
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.
SUGGESTED ROUTING
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
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
An exemption is granted based on the following: (1) the contribution was made more than one year after Name transferred from the Firm Municipal Finance Department to another department; (2) from his/her transfer on May 1, 2000, to the present, Name continues to be designated an MFP only because of the two year "lookback" provision; (3) Name had no personal involvement in Firm's municipal securities activities with City, including the pre-existing and established selection of Firm as one of several underwriters; and (4) the contribution, which was returned, was made to the campaign of a candidate for public office who is not now an issuer official, and who had no apparent opportunity to influence the award of municipal securities business.
Effective March 13, 2008, when issuing liability notices in connection with certain securities transactions, firms are required to use the automated liability notification system of a registered clearing agency, provided that both parties to the contract are participants in a registered clearing agency that has such an automated system.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to Article III, Section 19(f) of the NASD Rules of Fair Practice governing sharing in customer accounts by members and by persons associated with
