Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account
Trading leveraged/inverse funds has been a boon to my ability to hedge upside and downside risk without the complexity of options. Also, through products like SARK and SQQQ, I am able to hedge against downside risk without margin.
I think smaller traders like me will lose a lot of flexibility if unable to trade leveraged/inverse funds.
Fidelity already shows comprehensive warnings about trading
As long as the investment vehicles are legal, legit, and risk fully documented, I see no issues in letting a typical / average investor make their conscious investment decision. I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. As an average investor (Im currently using/ investing in proshare shorts/long 3x etf), I find most information available online and typical financial professionals discussed
I believe that people should have the right to make mistakes, no matter how stupid. I don't believe any government should interfere with that right, absent fraud. As long as the information is readily available to make informed investment decisions, it's the individual's right to make decisions. People who buy these products are typically more sophisticated than those buying
Offers from people or organizations who claim they can help you recover money lost from previous fraud can be tempting. But these offers, which want you to pay money up front for the recovery “services,” are almost always fraudulent themselves. Learn to spot fraudulent recovery scams and avoid further losses.
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).
On This PageThe FINRA CRCP CE Reporting and Tracking SystemNavigating the CRCP CE Reporting SystemViewing and Changing Your ProfileViewing CRCP CE CreditsReporting Credits EarnedVerifying Compliance with CRCP CE RequirementsSign-in With GoogleAdditional AssistanceThe FINRA CRCP CE Reporting and Tracking SystemWhat is the FINRA CRCP CE System?The FINRA CRCP® CE System is a web-based
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
During the past year, the Association has taken an active role in attempting to assist members in their obligation to comply with the complex requirements imposed by both the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") and the Interest and Dividend Tax
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-
This will negatively impact the trading capacity of younger, yet informed, traders such as myself.
