Regulators should not be in the business of limiting our ability to invest. There are already so many rules that hurt the "little guy." This is not a good move. You should not limit people's abilities to trade leveraged or inverse ETF's. Inverse ETF's, for example, are invaluable in market downturns. Forcing smaller investors to just eat the loss of an economic downturn
Equity Option Hedge Exemption
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KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position Limits
Executive
FINRA Rule 5123(a) requires firms that sell a private placement to file a copy of any offering document with FINRA within 15 calendar days of the first sale, subject to certain exemptions. FINRA Rule 5122(b)(2) requires firms that sell a private placement of unregistered securities issued by a member or a control entity to file a copy of any offering document
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
<p>Employee Leasing Arrangement Does Not Violate Rule 2420</p>
Proposed Rule Change to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
SummaryLow-priced securities1 tend to be volatile and trade in low volumes. It may be difficult to find accurate information about them. There is a long history of bad actors exploiting these features to engage in fraudulent manipulations of low-priced securities. Frequently, these actors take advantage of trends and major events—such as the growth in cannabis-related businesses or the ongoing
SR-FINRA-2008-043 - Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
INFORMATIONAL
Margin Disclosure
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KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Customer Disclosures
Margin
Executive Summary
On April 26, 2001, the Securities and Exchange Commission (SEC) approved National Association of Securities Dealers, Inc. (NASD®)
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
