SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 8, 1991, the following seven issues joined Nasdaq/NMS, bringing the total number of issues to 2,554:
Symbol
Company
Date
SOES Execution Level
AHSI
ALTA Health Strategies, Inc.
1/22/91
1000
GENZW
Genzyme Corporation (Wts)
1/
On October 24, 2022, FINRA announced the Small Firm Advisory Committee (SFAC) election for the New York Region. Eligible small firms in the New York Region were mailed a copy of the Election Notice and a ballot to vote in this election. Ballots must be returned no later than November 23, 2022, and the newly elected SFAC member will take office in January 2023.
Candidates
To review the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) to the close of business on April 18, 2022.
Changes Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
NASD Rule 11890
Executive Summary
On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
Hello,
I am an individual investor (albeit a sophisticated individual investor with a financial engineering degree) and being able to use leveraged inverse funds helps me hedge and execute trading strategies without having to structure the hedge from scratch (e.g., using options or futures contracts). Therefore, I strongly support general access to leveraged and inverse funds.
Reporting of Information Relating to OTC Trades in NMS Stocks
I believe any additional oversight or reporting requirements in regard to short positions would be a net positive. Abusive shorting of securities has both introduced idiosyncratic risk and reduced faith in the integrity of United States financial markets.
Limiting LETFs to holding for one day, will greatly hinder my ability to save for retirement. I am a young investor with a long investment time horizon. Being forced out of LETFs would generate enormous capital gains that will financially ruin me. All I want is FINRA to do is to just make broker disclosures better.
To Whom It May Concern:
I believe I am responsible for the way I invest my resources and the products I choose. Limiting my choices by intervention of regulators and the steps they take to limit my choices is improper. Inverse fund investment is part of my financial method of preserving my resources. Please do not take any steps to limit my actions in this manner.
I oppose restrictions on my right to trade in particular securities or requiring prequalification to do so. The securities I trade in are a critical part of my investment strategy and I use them appropriately with stop loss orders to protect my capital. I have over 40 years experience trading in the financial markets and shouldn't be required to prove to anyone that I know what I&#
