NASD has filed with the SEC a proposed rule change to (1) amend NASD Rule 3010(g)(2) to revise the definition of the term "branch office"; and (2) adopt IM-3010-1 to provide guidance on factors to be considered by a member firm in conducting internal inspections of offices. The purpose of the proposed rule change is to facilitate the creation of a branch office registration system
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of May 22, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CNC.GC
Conseco Inc.
6.400
02/10/03
I am not in favor of any regulation that would take away my ability to use investment devices that are available to others or to throttle or adjust my access.
I use a leveraged ETF (TQQQ) to risk a smaller amount of money and possibly achieve greater returns as part of my comprehensive investment strategy. I am quite pleased with the results and will continue to use it as a portion of my overall
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. Not only I think I have the right to share my views, but I trust the regulators will hear my concern and my right into consideration in deciding whether to move forward! Thank you for taking action. LIST OF INVESTMENTS THAT
I not regulators should be able to choose the public investments that are right for me and my family.
Public investments should be available to all of the public, not just the privileged.
I currently invest in the following:
Target Date Funds
Non-Traditional Index Funds (Smart Beta + ESG)
Emerging Market Funds
High Yield Bond Funds
Closed-end Funds
Commodity Funds
Cryptocurrency
I want to express my public comment that I am not in agreement with proposed FINRA regulations to restrict my right to acquire leveraged and inverse funds.
I understand how these funds work and am well aware of the he risks associated with investments in these funds. While I have experienced losses in these kinds of investments, they have provided me with investing options that have helped me
I am a financial professional. I used to work for market dealer and I was not allowed to trade options. Leveraged ETFs gave me the opportunity to get some leverage and get a piece of the returns reserved only for big players like Hedge funds and Investment banks. I started trading options after I left the broker dealer. I was fully educated and knowledgeable of how to manage risk. Good market
