To Whom it May Concern:
Leveraged investments have been a critical PORTION of my overall portfolio and long term strategy for years. While not the smoothest of rides it is a leveraged investment strategy based on the SP500 and US Treasuries and moves correspondingly with market movements of what I think one would agree are very sound investments. To end this option by a well-intended, but mis-
Neutral Corner - Volume 1—2019
Mission Statement
Discovery Abuses Can Be Costly (By David Carey, Associate Director, FINRA Case Administration)
Parties May Request Additional Information from Arbitrators Participating in Mock Arbitrations
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal Enhancement
Arbitrator and Mediator
To whom it may concern,
I request you do NOT add new requirements or restrictions to those funds deemed "complex." The term itself can be vague at best and requiring consumers to jump through arbitrary hoops still doesn't reduce the risk of harm in any way, but it could potentially exclude individuals from benefiting from their added diversification.
As a recent
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders
I am writing as a humble retail investor. Recent events and research have demonstrated that the entire securities market is built around big players taking money directly from retail investors and legitimate corporations who have zero recourse. The current system for reporting short sales is laughably ineffective. It is completely obscured from retail traders, intentionally preventing free trade
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENTS: SEPTEMBER 15, 1986.
The National Association of Securities Dealers, Inc. (NASD), requests comments on proposed revisions to Schedule D of the NASD By-Laws. Schedule D governs the operations of the NASDAQ System. The text of the proposed revisions is included as Attachment I. The text of the current Schedule
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 26, 2021 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: January 16, 2009
