(a) Criteria for Receiving and Excluding Evidence
The Hearing Officer shall receive relevant evidence, and may exclude all evidence that is irrelevant, immaterial, unduly repetitious, or unduly prejudicial.
(b) Objections
Objections to the admission or exclusion of evidence shall be made on the record and shall succinctly state the grounds relied upon. Excluded material shall be
FINRA's Disciplinary Actions database enables users to perform Web-based searches for FINRA Actions that were issued from January 1, 2005 to the present free of charge, seven days a week.
I firmly object to the measures being proposed in this rule, particularly any steps to restrict what products I am able to procure through my brokers as a private (retail) investor. My concern especially applies to the purchase of leveraged ETFs. As a private investor or trader, the onus has been and always will be on me to acquire the necessary knowledge, experience, and trading acumen to be
Remarks from the Investment Program Association Fall Conference
SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Effective March 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Executive Summary
Some of the self-regulatory organizations (SROs) comprising the Intermarket Surveillance Group (ISG) agreed to adopt policies to ensure uniform reporting of all short interest in traded securities. The NASD has amended Article III, Section 41 of the NASD
The current regulations on "complex securities" is adequate. FINRA and SEC doesn't need any further new regulations in complex securities. These complex securities have the same risk and volatility as buying a individual stock. Geared ETF and Inverse are for advance investor and trader. The current agreement with brokers is adequate. I studied geared and crypto trust for hundreds
97-75 attachments (PDF Format)
Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.
Last Voting Date: November 13, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to
Dear SEC, I'm vehemently opposed to Rule #S7-24-15, as it limits the available securities to the public which are within their right to own. As a licensed investment advisor, we already provide the expertise to our clients to explain leveraged and inverse funds as investments. Specifically, these are not recommended for every client, but can be quite useful for clients as a hedge, and should
Dear Sir or Mz, Please do not put into place any regulation or test which would impede a retail investors ability to trade leveraged index funds. Trading leveraged index funds such as ProShares funds is a convenient, easy way for a small investor to make a good living. There is always risk in any trading activity. This is well understood by the great majority of traders whether small or
