INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange
TO: All NASD Members and Other Interested Persons
ATTN: All Chief Executive Officers, Compliance Officers, and Registration Managers
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 providing for regulation of government securities activities by brokers and dealers. This legislation created new Section 15 C under the Securities Exchange Act of
TO: All NASD Members and Other Interested Persons
IMPORTANT REMINDER
ALL STATE, AGENT, AND BROKER-DEALER RENEWAL FEES MUST BE RECEIVED BY THE NASD NO LATER THAN DECEMBER 18, 1987, IF YOUR FIRM INTENDS TO CONTINUE DOING BUSINESS IN 1988. PLEASE NOTE THE FOLLOWING:
Invoices for the 1987-1988 renewal cycle have been mailed to your firm. The invoices include annual fees that must be paid to allow
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
INFORMATIONAL
Exempted Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Exempted Securities
Government Securities
Group Variable Contracts
Non-Cash Compensation
Executive Summary
On July 31, 2001, the
In April 2022, I received a message from Vanguard stating that I would no longer be able to invest in shares of Grayscale Bitcoin Trust (GBTC) in my Roth IRA. This email was very concerning and surprising since my Roth IRA has massively outperformed the market since adding GBTC a number of years ago.
More recently, I became aware of FINRA's proposed regulations to prevent or restrict
SEC Approves Amendments Relating to Stop Orders
I recieved an email today about proposed restrictions on inverse and leveraged funds. I want to express how these funds can be a valuable tool to retail investors
With so many changes in trading in the last few years. No fee and fractional shares. It has opened opportunity to people with less money to invest
For years i used a name brand broker buying their mutual funds and holding forever. I
Hello! I am relatively new in my career(just graduated with a degree in Computer Science) and finally have an income of my own to invest. I'm what you would call a self taught investor. Investing has always been my true passion. One of the great things about this time we live in is our ability to learn just about anything thanks to the internet. The individual should be able to choose
I have utilized leveraged mutual and ETF funds in my IRA portfolio for over 12 years and I strongly believe that I have been successful in enhancing my rate of return during certain market cycles. Although I do have significant retirement assets, I would likely not be considered an accredited investor. I have been investing, primarily through mutual funds, since the early 1970s. My portfolios
