Exchange-traded products (ETPs) are a popular way to invest, with thousands of different products available to target almost every imaginable investment objective, but it’s important to remember that not all ETPs are the same. Leveraged and inverse ETPs are complex investments that come with a unique set of risks.
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below
Changes in individual stock prices can be due to a specific company or industry event. But major changes in leading U.S. indexes can indicate a wider shift in investor sentiment, which might be driven by broader trends in the domestic or global economy. These changes that can be revealed by economic indicators reported on a periodic basis.
When you retire, you begin to take income from your defined benefit pension or defined contribution plan. You may also take income from a Social Security account. Learn about the payout options from each source and what each means for your personal situation.
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish January 14, 2008 as the final implementation date of the rule changes approved in SR-NASD-2005-146.
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the definition of "member organization" in FINRA's NYSE Rule 2(b) to reflect that FINRA membership is a condition of being an NYSE member organization. The proposed rule
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend its trade reporting rules to change the manner in which members are required to report odd-lot transactions to a FINRA Trade Reporting Facility ("TRF"), the Alternative Display
Updated: April 18, 2017
Good afternoon. Thank you, Merritt [Fox], for that kind introduction and for the invitation to speak with you this afternoon. It’s a pleasure to be with you today and to participate in this ambitious initiative to conduct a New Special Study of the securities markets.
As all of you know, the original Special Study was a defining event in the history of U.S.
