SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,838
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,859
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 13, 1988, the following four issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested
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. As a former Certified Financial Planner for nearly 30 years I know about market and investment risks and understand the complexity of trading leveraged investments.
I shouldn't have to go through any
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Principal Examination (“Series 54 examination”).
This is ridiculous.
In the finance world, first I found the Pattern Day Trader (PDT) rule is ridiculous. If this is risky: when you don't have money (< $25,000), you cannot do it; when you have more money (> $25,000), you can lose them more quickly. It means you have a higher trial and error cost.
Now, the new rule is even more ridiculous, similar to PDT. People
Outlaw all dark pools, synthetic shorts, and fail to delivers, or at the bare minimum require them all to be reported in realtime publicly. These are the bare minimum clear steps needed, or further info exposing the depth of corruption will be leaked, inevitably leading to global financial collapse.
I use leveraged products as part of my portfolio and I am well aware of the risks they carry. Leverage products such as UPRO and TQQQ can be used effectively as a component of a broader investment strategy and should not be restricted from public retail investors because some decide not to properly educate themselves on the risk they carry. It is important for individual citizens to have the
I am a 74-year-old conservative and cautious investor who has successfully used triple-leveraged ETF's during the last nine years to provide supplemental income for retirement. I and my 69-year-old wife do not live extravagant lifestyles, but these EFT investments have allowed us to live a middle-class life in retirement. However, if the freedom to use these investments was taken away
