Executive Summary
On September 6, 1995, the expanded Limit-Order Protection Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from trading ahead of customer limit orders (commonly known as Manning II) became fully effective. The expanded Interpretation extends the scope of limit-order protection in The Nasdaq Stock MarketSM to ensure that
I am opposed to the Subject rule #S7-24-15 This is clearly an infringement on the rights of the people to have the flexibility they need to make the necessary investments needed to reduce risk is a portfolio of investments. Inverse and leverage funds allow a simpler way than using options to protect investments from market changes. They allow it to be done without using margin loans to provide
There is no good reason that investors of any kind should be segregated and barred from any type of public investment vehicles, especially not on account of available funds. This rule banning certain investors from inverse and leveraged investment vehicles would limit individual investment strategies and only benefit large institutions. It is fundamentally unfair and disrespectful to the
Dear FINRA, I've been successfully trading Leveraged & Inverse Funds (ProShares), and using them as a hedge to other investments for years now. With the ongoing NEW rules & restrictions being considered by government and FINRA, trading/investing as an individual will become more complex than it already is!! (please don't try and make me jump through any additional hoops
I find it disturbing that your agency wants to take away my ability to pick investments based on my research and ability to decide how much or little to risk in very common market instruments. Why should I have to take a test to prove to you - unnamed bureaucrats - that I understand the risks and potential rewards of these instruments and what I do with my money.+ What tests can predict the
Sirs, As a 35+ year registered Democrat I have come to realize my choice of parties has become nothing more than the nanny state writ large. My god, how stupid do you think people are, that they can't decide for themselves to invest/speculate/gamble in whatever they want, without YOU, unelected and overpaid officious elitists, telling us you're here to protect us from ourselves. I am
" Publication of Short Interest for Exchange-listed Equity Securities" Why are firms are currently allowed to hold any unreported open short positions? In the OTC market, one firm's large short position could potentially destroy a company. " Content of Short Interest Data" The more data points you collect and publish, the better. A free and fair market means transparency
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
Applicants are
Net Capital
Liquidity Management
Credit Risk Management
Segregation of Assets and Customer Protection
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Net Capital
The units of delivery for certificates of deposit for bonds, shall be the same as prescribed for bonds in Rule 11362.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
