ACTION REQUESTED
Regulatory Fee
Comment Period Expires: February 28, 2002
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Legal & Compliance
Senior Management
NASD By-Laws
Regulatory Fees
Executive Summary
The National Association
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
I believe that inverse funds are necessary to effectively manage my portfolio. As an individual investor it can be very challenging to hedge against market volatility and large draw-downs in the market. Inside retirement accounts, I have very few tools to hedge my portfolio, shorting and options are generally not allowed. That leaves buying of inverse ETFs as one of the few options to provide
I'd like to share my comments concerning your contemplation of requiring certain restrictions, limitations and/or abolition of certain inverse, levered investment products. I have been using both of these types of products for years and feel they are important tools that individuals, like myself, can utilize to manage our financial assets in the stock markets. Both these tools, when
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces, and for allowing us to submit this statement for the record.
Disclaimer for investor tools and calculators
(a) Applicability of Rule
This rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. Except as otherwise provided in this Rule, all provisions of the Code apply to such arbitrations.
(b) Single Arbitrator
All arbitrations administered under this Rule will be decided by a single arbitrator appointed from the FINRA chairperson roster in accordance with the
The Securitized Products Capped Volume Report provides additional information on disseminated transactions whose size was subject to TRACE dissemination caps. The report shows average size (in millions) of capped transactions for Securitized Products reported to TRACE. The data is grouped into sub product categories including: TBA (Good Delivery and Non-Good Delivery), MBS, and ABS.
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SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
Executive Summary
As of February 22, 96, the following 87 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,023:
Symbol
Company
Entry Date
Level
DHSM
Diagnostic Health Services, Inc.
1/22/96
500
DHSMW
