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Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or Commission) has approved new Article III, Section 44 of the Rules of Fair Practice (Corporate Financing Rule or Rule), for the review of
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
INFORMATIONAL
Performance Fees
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Executive Representatives
Legal & Compliance
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Rule 2330
Performance Fee Arrangements
Investment Advisers
Executive
Please stay out of people's private lives. I've held some of these funds for quite awhile. Have I learned a hard lesson on how these products work?--YES. But I've held in waiting for an eventual bear market that I know someday will come. Now that is almost upon us, you want to change regulations where people like me can't play the game no more? Just as I'm about to get
Please do not limit private investors access to 2x leveraged index funds and non-leveraged inverse funds. A leveraged fund based on a broad index (S&P500, Nasdaq, total market, etc) tends to be a less expensive and safer alternative to broker margin. They represent a valuable tool for ordinary investors to access leverage outside of potentially predatory broker margin interest rates
Why would you take more away from hard working individual private investors. This is unacceptable. Why should there be any regulations differences for anyone? You are considering making the market playing field even more uneven than it already is! I strongly object to any proposed changes to investing in any public securities, especially leveraged and inverse funds!! This will greatly affect
INFORMATIONAL
Option Contracts
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Executive Representative
Legal & Compliance
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Senior Management
Options
Options Self-Regulatory Council
Executive Summary
NASD Regulation is providing this Notice on behalf of the Options Self-Regulatory Council. This Notice advises broker/dealers to review or develop
Greetings. It is my right to invest my money how I choose. I am a young person with savings that are currently withering away due to inflation. I cant afford a house either. My only option is to invest, and that is by the design of the US governments programs that cause inflation and disincentivize saving cash. So, some of my money is invested in leveraged funds, and I am doing quite well at
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
