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Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Dear Sirs:
I invest via a systematic quarterly plan that utilizes leveraged ETFs. I know what I am doing. Correct use of these leveraged products is a key part of my financial plan.
Leveraged funds are important to me. They improve my performance over the long term. I am not engaged in reckless trading, I understand the effect of daily magnification of an indexs price movement, and benefit from
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with certain exemptions from the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to July 20, 2020 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
This is ridiculous. You let banks come up with ways to increase their monopolies and punish the retail investor? Why, because you can't punish the banks? This is the most anti-capitalist thing I've ever seen in America and it's happening under Biden, not Trump. There is no defense of this greater than the blame shared by unchecked big banks and hedge funds. Truly one of
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
