Summary
Several firms have recently informed FINRA that malicious actors are using registered representatives’ names and other information to establish websites (“imposter websites”) that appear to be the representatives’ personal sites and are also calling and directing potential customers to use these imposter websites. Imposters may be using these sites to collect personal information from
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Senior Management
Institutional
Legal & Compliance
Municipal
Syndicate
Trading
Training
Executive Summary
On November 10, 1994, the Securities and Exchange Commission (SEC) adopted amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Act) that prohibit broker/dealers from underwriting and recommending municipal securities for which
The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study. On this episode we delve into the latest results of this nationwide, triennial study.
SummaryThe annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.The purpose of this
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 28, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment that would provide limited exemptions for certain persons purchasing securities in connection with the conversion to stock ownership of mutual savings and loan associations, savings banks and certain
I have used ProFunds for over 20 years now. Proshares inverse and leveragedlong funds have been around a long time and they give me the flexibility to do what I want and invest how I want and they are neat and beneficial and provide clear and non-dangerous opportunities to invest, hedge, and participate in many indexes and sectors of the market. I have helped run a hedge fund that could use short
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1991, the following 11 issues joined Nasdaq/NMS, bringing the total number of issues to 2,573:
Symbol
Company
Entry Date
SOES Execution Level
FBII
First Bancorp Indiana, Inc.
12/13/90
500
CATY
Cathay Bancorp, Inc.
12/14/
I have been using index Inverse Leveraged ETFs (I-LETFs) as a portfolio hedge, given that my single stock positions can be volatile, and that my portfolio is not correlated with the indices I inverse.
I use I-LETFs in my active trading account, not in my long term investment account.
The I-LETFs are usually under 10% of my portfolio--I rebalance my I-LETF exposure almost daily, to counteract the
The Market Access Controls section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Comment Period Expires June 15, 1994
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Senior ManagementInstitutionalInternal AuditLegal & ComplianceOperationsResearchSyndicateTradingTraining
Executive Summary
The Board of Governors of the NASD is soliciting member comment on a proposed Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice whereby it would be considered a violation of
