The Outside Business Activities and Private Securities Transactions section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA Requirements for Subordinations; Availability of New Standard Forms
REQUEST FOR COMMENT
Principal Pre-Use Approval of Member
Correspondence
Comment Period Expires May 27, 2005
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Advertising
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rules 2211 and 3010
Executive Summary
NASD
GUIDANCE
Dispute Resolution
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Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission has approved amendments
to the arbitrator classification criteria set forth in Rule 10308 of
the NASD Code of Arbitration Procedure (Code) to ensure that
individuals with significant ties to the
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Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
On July 14, 1993, the Securities and Exchange Commission (SEC) approved a new Section 71 of the Uniform Practice Code (UPC) requiring members to close out short sales in Nasdaq® securities that meet a certain clearing short-position threshold. In addition, the SEC approved
Member's use of minimum commissions per trade or per share and the use of standardized commission schedules.
I strongly oppose the proposed rule changes that would restrict or even block access of certain investments including leveraged and inversed funds.
The decision of choosing investment vehicles can only be made by individual investors, not a small group of regulators. To protect the interest of individual investors, the regulatory should work toward ensuring fairness by enabling equal access to
Thé government has no right to tell hard working Americans how they can invest their money. It did not work for it. These rules would block access for the average person to invest in companies that would bring them revenue. A risk is a risk. Everyday you walk across the street you take a risk. Its the for some anonymous government official to decide where and how people invest. This is outrageous
Comments: I believe that access to leveraged and inverse funds has helped me hedge my portfolio. Without these products my portfolio would slide to zero. Do not make any changes in this volatile environment. There is no need to enhance any rules.
Do not restrict or disqualify my right to trade these products.
The purpose is short term active hedging.
Brokerage firms provide sufficient
Hello, I disagree with the rules this document is proposing. These products are cleared labeled as leverage products and the retail investor is aware of the risks and strategies involved. These are outlined in the prospectus and online which are sent to every trader. This would be a barrier to entry and unnecessary burden for retail investors who already are required to acknowledge the risks when
