On Monday, March 20, 2017, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
Comments: To whom it may concern . My broker keeps me very informed of the risks that ETF holds . Unless you are going to come into the common peoples lives and rule how we manage our private money, whether that is gambling , drinking , excessive buying or saving, then you need to stay out of how I do my own stocks . ETF etc are my right to pick and choose . Not your right to say who or what I
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
I am extremely upset with this proposed rule as I want the ability to choose what public investments are right for me and my family, and not some bureaucratic regulator that knows nothing about me or my situation. I should not be forced to go through a bunch of ridiculous hoops and processes to be able to decide how I should invest my money. I am well aware of the risks of leveraged and inverse
I should be able to be able to short stocks just like the professionals. They would not like to be restricted either! It is an unfair playing field when you have to play by different rules than other investors. It's called cheating! I should be able to not have restrictions on my IRA either and should be allowed to short stocks like other investors and now you want to take away the only
Inverse funds are an important investment vehicle for me to offset downturns and hedge against certain market conditions. I am very concerned this type of investing vehicle would be restricted or taken away from an average investor like me. Inverse funds have allowed me to attack inflationary impacts head-on without using more complex put & call techniques, which are more difficult to
I have been investing in leveraged funds over past 15 years. Any change in rule is going to affect my ability to come ahead from my losses. In the event any change should happen, FINRA should cover all my losses. I do have advanced education in science and math, fully capable of understanding the mathematical risk involved. If these tools are available only privileged ones, FINRA would be making
I not regulators should be able to pick the investments that are right for me and my investment strategies. This is another regulatory overreach that serves the institutions and not the public, it should never be accepted. I do not need to be patronized by FINRA or any government institution on how I invest. It is those same dumb and shortsighted limitations that are driving social security into
(a) U.S. Hearing Location
(1) The Director will decide which of FINRA's hearing locations will be the hearing location for the arbitration. In cases involving an associated person, the Director will generally select the hearing location closest to where the associated person was employed at the time of the events giving rise to the dispute, unless the hearing location closest to the
FINRA requires firms to file a continuing membership application (CMA) whenever they seek to expand or implement new ways of doing business. Firms also must file an application whenever they seek to modify or remove restrictions previously imposed in a membership agreement (a membership agreement change). This process helps protects investors by ensuring that a firm’s supervisory and compliance
