SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 20, 1992, the following 30 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,956:
Symbol
Company
Entry Date
SOES Execution Level
EZEMB
E-Z-EM, Inc. (Cl B)
10/27/92
1000
HALO
HA-LO Industries
It is inappropriate for a regulatory entity to impose restrictions on adults that are capable of making their own decisions when it comes to selecting investments of their own money. No regulatory has the right to tell any American citizen how, when, and where they can spend or invest their money.
FINRA already regulates those that commercially sell to, coach, and suggest investment
SUGGESTED ROUTING*
Senior Management Government SecuritiesLegal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 2, 1988, the Securities and Exchange Commission approved amendments to the NASD By-Laws and Rules of Fair practice and new Government Securities Rules designed to permit the NASD
FINRA Survey to Create the Securities Trader Qualification Examination
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 21, 1985, 42 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,976. These 42 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Attached are copies of notices issued by the Comptroller of the Currency that relate to certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses registered in Majuro, Marshall Islands. Because
(a) DefinitionsFor purposes of this Rule and any interpretation thereof:(1) "Communications" consist of correspondence, retail communications and institutional communications.(2) "Correspondence" means any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.(3) "Institutional
As of December 20, 1995, the following 99 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,003:
Symbol
Company
Entry Date
SOES Execution Level
ANIC
Anicom, Inc.
11/21/95
500
CDLI
Consolidated Delivery & Logistics, Inc.
11/21/95
500
FFIC
Flushing Financial Corporation
11/21/95
200
IVAC
Intevac, Inc.
11/21/95
200
LSREF
LaSalle Re Holdings,
I have been managing my own investments for 35 years. I was trained at the graduate level to do this, but was never employed in the financial services industry.
Leveraged and inverse, open and closed funds, are useful instruments. In appropriate circumstances, I use these instruments. They are especially helpful for generating routine income (in retirement) and setting up hedges.
Not
Hello,
As someone who has used leveraged ETFs quite successfully over many years I absolutely do not support any additional regulations or restrictions on individual investors using leverage, futures, options, or any other manner of "complex" instruments as part of a self-directed investment strategy.
I actively researched and educated myself on these financial instruments
