INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
Yes i understand the risk of the fund, and i am happy to invest, it is very directly, the fund is using leveage, in a nut shell borrowing money to invest more, and is mananged to pay the cost of the loan and to also provide extra growth. It is a good system, and their needs to be more funds like this. In fact many Real Estate investments work on the same concept. Leverage, the 8th wonder of the
Why is this happening now? Is the economy about to crash and you do not want the average person have the ability to protect their wealth? This stinks of yet more elitism in a system that is solely designed to protect the ultra rich. The rich already have the ability to invest in companies before an IPO, leaving little value for the average person, as one example, so in an unstable economy you
TO: NASD Members and NASDAQ Issuers
On January 1, 1985, an order from the State of Georgia became effective which exempts NASDAQ National Market System securities from registration or qualification for sale under Georgia blue sky laws. This action grants NASDAQ National Market System securities parity with securities listed on the New York and American Stock Exchanges. In addition, for NASDAQ
FINRA provides dispute resolution services for several exchanges that are not able to staff or operate a dispute resolution program. These services include administration of the exchange's member-member, member-investor and member-employer securities-industry related disputes.
Beginning Monday, November 13, 2017, JP Morgan Securities, LLC (MPIDs: JPMS, JPMX & JPBX) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF).
Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
Summary
Last year, FINRA took several steps to engage with members regarding their current and planned activities relating to digital assets. These efforts included the issuance of Regulatory Notice 18-20, which encouraged firms to keep their Regulatory Coordinator informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital
The Neutral Corner – Volume 1—2024
Most securities require the buyers to exercise due diligence. Whether a publicly traded company or ETF, each individual has the obligation to be aware of the risks.
Increased regulation will only add greater burden to brokers, which the consumer ultimately ends up paying. These leveraged funds have enhanced my trading strategies and made me a better investor. They have provided me with decent
As a result of a recent review of gift and gratuity practices of over 40 member firms, NASD staff is concerned that members may not be fulfilling their obligations to comply with, and establish adequate supervisory systems and procedures reasonably designed to achieve compliance with, NASD’s rule governing gifts and gratuities – Conduct Rule 3060 (the “gift rule”). Rule 3060 prohibits
