FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
SEC Approves Extension to IM-10100 Pilot
Effective Date: March 31, 2003
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Arbitration Associated Persons California Disclosure Standards Members
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved an extension to a
Release DateSystemAreaDescriptionAugust 1, 2025FINRA GatewayIndividual ProfilesBug Fix: The Reg Element CE course and its credits are not displayed in the IAR CE sub-section under Continuing Education section. With this fix, the user will be able to view all the applied or excess courses including Reg Element CE course. Enhancements: The tooltip languages for eligible
EBS Submissions Following Implementation of the Option Symbology Initiative
In brokerage accounts such as TD Ameritrade, we are free to trade stocks and financial instruments such as leveraged and inverse funds without any pressures of dealing with an actual broker. There is no solicitation or advertising on these sites that points us to any particular fund or stock. Please don't restrict this freedom.
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
This appears to be part of campaign by ProShares to protect their inverse ETFs. Their sponsorship of the comment site (leteveryoneinvest.com) is hidden. It fails a basic transparency test.
Please review and consider the list of investments to see if they are all equally or substantially toxic to the general public.
It is a shame their isn't a malpractice standard for investment firms.
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
Institutional investors are professional investors who pool together capital—sometimes referred to as Wall Street’s “smart money”—and invest on behalf of others, typically at much higher volumes than retail investors. learn more about institutional investors and how they can and cannot impact your investments.
I teach ETFs, both leveraged and un-leveraged ETFs to 13 year olds. They understand them very easily. All one has to do is to search what the ETF is composed of on a site like ETFDB.com or any other website. The ETF leverage is often also stated in the name of the stock next to the ticker.
