Comments: stop interrupting the retail trader. Just leave the leverage ETFs alone ! Thank you
Comments: do not remove the 2x,3x,-1.5 ,2x,-x3 form the market all youre gonna do is disrupt the market unless thats what your plan .. Keep tqqq sqqq qid qld UVXy .long live the economy!
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 11, 1997, the National Association of Securities Dealers, Inc. (NASD®) Board of Governors approved the solicitation of comment on a proposed rule that would amend Rule 6530 to limit
SEC Approves Consolidated FINRA Customer Order Protection Rule
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
