SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 23, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws and Article IV, Section 5 of the
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of June 28, 1994, the following bond was added to the Fixed Income Pricing SystemSM. This bond is not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
CQB.GG
Chiquita
9.125
3/1/04
The bond listed above is subject to trade-reporting
Joint NASD and NYSE interpretation that individuals involved in the development of certain quantitative equity research ratings model are not “research analysts” as defined by the SRO research analyst conflict of interest rules.
I am writing because I appose the pending regulations restricting who can invest in leveraged and inverse funds and I oppose limitations on your investments.
The new rules and regulations are very unfair. These new regulations will deny me the freedom to choose investments that could help you achieve long-term financial security.
The new regulations are arbitrary. FINRAs definition of
I am writing because I appose the pending regulations restricting who can invest in leveraged and inverse funds and I oppose limitations on your investments. The new rules and regulations are very unfair. These new regulations will deny me the freedom to choose investments that could help you achieve long-term financial security. The new regulations are arbitrary. FINRAs definition of complex
Give your standard disclosures. Bring back the short sale rule! Keep the auto close for severe drops on the indexes. Go after the cook the book companies, and the insider trading crooks but do not deny the independent traders,investors or institutional financial firms the ability to hedge or out gain the standard index. The great thing about the United States is that one can take risk to possibly
It is elitist and violates freedom of choice to prevent an investor to do what he or she wants with his or her money, and why does FINRA pretend to know best, which is extremely paternalistic? The securities laws already preclude non accredited investors from participating in private placements, which provides more opportunity for the wealthy. All these preventative rules do that prevent is
Leveraged and inverse funds are a hedging tool when I think put option premiums are expensive and/or I am unable to directly short a stock or ETF in my retirement accounts. I also use them to make speculative directional bets where I deem appropriate. Position size is always key in volatile products ,that is just common sense from the offset, or quickly learned by actual trading experience...
