GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-3013 (Annual Compliance
and Supervision
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
The SEC has enacted its regular appropriation under Section 31 of the Securities Exchange Act of 1934. Effective January 15, 2010, the Section 31 fee will decrease the rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets from$25.70 per million dollars to $12.70 per million dollars. This fee rate will remain in place until further notice.
TO: All NASD Members and Other Interested Persons
ATTN: Operations Officer, Cashier, Fail-Control Department
On August 13, 1985, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-51 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be
Please do Not limit me or my financial investment adviser by limiting the use of leveraged products. Granted these are aggressive products, but everything about stock buying or stock shorting, is aggressive. These products are simply tools to be used at the appropriate time. For example, during big market corrections in the past they give you a chance to recover more quickly from a 20% plus
Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Hello - It has been brought to my attention that FINRA is considering taking action against "complex products" which include leveraged and inverse funds. Leveraged funds are important to my investment strategy. I use them as a limited part of my portfolio with the goal of seeking enhanced returns. It should be my option to choose which investments are right for me and my family. I'
Please do not impose new restrictions on trading leveraged funds that will effect our ability to continue trading the way we are now. For many people like myself and my family, leveraged funds are a very important part of our investment strategy. We do not feel that it is right to be restricted from trading them simply because we do not have a license, passed a test, or have a particular net
