Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
While I support education about so-called 'complex' investment products, imposing restrictions on purchasing such products is not the right approach. For many years, financial products have been plagued with excessive 'legalese' -- which is the biggest barrier to investors understanding the products in which they are investing. Even the SEC is guilty of obnoxiously wordy
OverviewThe Capital Acquisition Broker (“CAB”) Written Supervisory Procedures Checklist (“WSP Checklist”) is an outline of selected key topics representative of the business activities typically engaged in by CAB members and permissible under FINRA’s CAB Rules. A complete copy of the CAB Rules can be found here: https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rulesFINRA
Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
The 1998-1999 renewal
Proposed Rule Change to Adopt FINRA Rules 2130 (Approval Procedures for Day-Trading Accounts) and 2270 (Day-Trading Risk Disclosure Statement) in the Consolidated FINRA Rulebook
Direxion put out a request for investors in their products to comment on this proposed action. I figure it would be better to avoid going through their portal. The consensus seems to be that the proposed action, in its details, would ban most investors from purchasing inverse and leveraged funds. These comments apply to exchange traded inverse and leveraged funds, and not similar products that
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 28, 1986.
••• Executive Summary
NASD members are invited to vote on the following amendments to the NASD Rules of Fair Practice and the NASD By-Laws:
Article III, Section 19(f) of the NASD Rules of Fair Practice — would permit members or persons associated with members to receive performance
