Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
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Executive Summary
Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of
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Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Fairness of markups and markdowns charged by members in principal equity transactions with customers has become an increasingly important
Benchmarks play a valuable role for investors, providing a standard against which to measure an investment’s performance. Weighing the return on a particular stock, bond mutual fund or exchange-traded fund (ETF) against a comparable benchmark can help investors make more informed decisions on how to invest.
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PORTAL-Designated Equity Securities Directory
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PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
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Keeping crypto assets safe involves a different set of challenges than keeping your cash, stocks or bonds secure. It’s important to learn about the different ways to store crypto assets.
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
