I have invested in leveraged funds for over 20 years. Although they have risk, I am retired and would like to preserve wealth. I do this through leveraged funds. By investing 50% of my invested cash in a 2x leveraged fund, I get a return that is less than 2X in a given year but over a long period of time, I am likely to get more than 2X due to compounding. I understand these instruments are
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD Rule 2860 NTM 06-46NTM 06-09NTM 05-56NTM 05-31
Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining
Key Topic(s)Exercise LimitsOptionsPosition Limits
Options Position and Exercise Limits
Executive Summary
SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position Limits
Rule 2860
Executive Summary
Comment Period Expires May 31, 1999
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
To whom it may concern,
Please do NOT restrict access to public investments to only your preferred group of wealthy individuals. As a non-accredited retail investor it is incredibly frustrating to be denied access to the same investments that other people have access to simply because my portfolio isn't large enough. The proposed regulations only serve to prohibit retail investors such
This filing has been withdrawn.
NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (“Nasdaq”), is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to exempt from NASD Rule 3350, the short sale rule, sales in Nasdaq National Market (“NNM”) securities reported to the Nasdaq Market Center trade reporting service comprising the “riskless” portion of a
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems.
INFORMATIONAL
Publication Of Quotations; Indications Of Interest
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal &
FINRA released a new edition of the OATS Reporting Technical Specifications dated March 15, 2010. The changes described in this edition of the OATS Reporting Technical Specifications will be available in the OATS Production environment on April 26, 2010 and will be available in the OATS Certificate Test environment on April 12, 2010.
GUIDANCE
Large Options Positions Reports
SUGGESTED ROUTING
KEY TOPICS
Senior ManagementLegal & ComplianceOperationsOptionsSystemsTrading
Options
Executive Summary
As a result of enhancements to the Securities Industry Automation
Corporation's (SIAC) Large Options Positions Reporting system, NASD
is eliminating the manual reporting of Large Options
View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521(d). Note: This guidance only applies to members that need to report data pursuant to Rule 4521(d).
