Comment Period Expires May 31, 1999
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Comment Period Expires May 31, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
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Executive Summary
In December 1997, NASD Regulation, Inc. (NASD RegulationSM) sent a compliance survey (Special Notice to Members 97-96) to find out the status of member firms' Year 2000 efforts. Member firms have the responsibility to determine the readiness of
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As of December 27, 1993, the following 90 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,472:
Symbol
Company
Entry Date
SOESSM Execution Level
INSL
Insilco Corporation
11/29/93
1000
WVFC
WVS Financial Corp.
11/29/93
1000
ASH
Airport Systems International, Inc.
11/30
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 15, 1987, the following 5 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,066:
Symbol*
Company
Location
CLHB
Dear FINRA, First, let me introduce myself. I am Nathan Ayotte, and I am an individual investor with personal goals of acquiring a large average annual compound rate of return each year. Personally, I have been investing in a particular triple-leveraged ETF fund based on the Nasdaq-100 (Ticker: TQQQ) for 4 years, provided by an asset management company called ProShares. The fund is a fantastic,
- Many of the leverage etfs, specially those which represents the broader market, such as UDOW (3x Dow Jones etf), have a long term upward movement and can be held long term if investors can stomach the volatility. Meaning if investor held them, they would have been rewarded. If you ignore the most recent downturn, UDOW since inception had an upward movement and rewarded investors more than 15
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of November 26, 1993, the following 105 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,412:
Symbol
Company
Entry Date
SOES Execution Level
DUCR
Duracraft Corp.
10/26/93
1000
ISCO
Illinois Superconductor Corporation
10/26/93
1000
KAMNZ
Kaman Corporation (Dep
