Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
I am not in favor of any regulation that would take away my ability to use investment devices that are available to others or to throttle or adjust my access.
I use a leveraged ETF (TQQQ) to risk a smaller amount of money and possibly achieve greater returns as part of my comprehensive investment strategy. I am quite pleased with the results and will continue to use it as a portion of my overall
I strongly oppose restricting access to any public investments to those who already have significant financial and/or social capital. This is the sort of self-dealing that gives the financial industry the reputation of rigging the game in its own favor at the expense of retail investors. I personally use 3X leveraged funds to potentially enhance returns on a small portion of my overall portfolio
In securities transactions, whether in "listed" or "unlisted" securities, if a member buys for his own account from his customer, or sells for his own account to his customer, he shall buy or sell at a price which is fair, taking into consideration all relevant circumstances, including market conditions with respect to such security at the time of the transaction, the expense
Sir, While I appreciate the level of market transparency you are trying to achieve by implementing rules that speed up the price reporting process, I question the benefit that market participants will enjoy by shortening the reporting time frame from 15 minutes to 1 minute. I think this is especially the case with smaller trades done typically by retail investors. Our firm usually does government
Hi there, I oppose the proposed regulatory enhancements. I especially disagree with tying the ability to trade or invest in leveraged ETFs (or other "complex funds") to net worth. Nothing about having a high net worth guarantees a better understanding of complex funds. Someone with a small portfolio is capable of doing their due diligence before investing in or trading complex funds. I
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsSystems
On January 31, 1994, the Securities Investor Protection Corporation (SIPC) instituted a direct payment procedure for:
McCarley and Associates, Inc.242A South Pleasantburg DriveGreenville, SC 29606
Questions regarding the firm should be directed to SIPC:
Securities Investor Protection Corporation805
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws and Rules of Fair Practice require that complete and accurate information be provided on Forms U-4 and U-5 and that members are responsible for investigating a
Memo to SEC/FINRA regarding the purchase of leveraged investments Proposed Rule #S7-24-15 I appreciate the opportunity to comment on this proposed new rule/regulation. I have held ProShares in one of my portfolios since early 2016. Symbol USD. This investment is up 742.06% and has split once 3:1 which tripled my shares. It has performed well in up and down markets. It has enhanced my returns in
