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The Director may exercise discretionary authority and make any decision that is consistent with the purposes of the Code to facilitate the appointment of arbitrators and the resolution of arbitrations.
Amended by SR-FINRA-2010-053 eff. Feb. 1, 2011.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notices: 07-07, 08-
Submission of PAIB Computation in FOCUS Filings
Beginning with the June 2002 FOCUS Report, members that hold assets of other member firms and compute a PAIB Reserve with respect to such assets will need to include the PAIB Reserve computation with their regular FOCUS filing. The PAIB Reserve computation will be included as page 9B in the Part II FOCUS filing.
The PAIB Reserve
I am AGAINST passage of FINRA’s Regulatory Notice 22-08 taking effect.
I use leveraged indexed ETF's actively trading them over short time horizons under steady participation in a long time horizon (25+ years) to smooth out inconsequential market fluctuations, even as much as 50%+, as part of my overall portfolio strategy. The financial services providers servicing these funds have been
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to schedule
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. As the transition to the Sylvan Network proceeds, a limited number of current PROCTOR® Certification and Training
I an very disappointed to read about the proposed regulations to curb the use of inverse, leveraged and other commonly used investments.
I use inverse funds to de-risk my portfolio as I believe most investors, using these funds do. I don't "bet" in market movement but I do protect myself when I see excessive volatility in the markets.
I am very much against additional
Most people completely understand all the risks inherent in leveraged and inverse funds. Brokerages provide notices for people who do not understand them as a warning (which should be enough!) and it should be an investors responsibility to know what they are investing into. I hold a PhD and know the risks inherent in these types of investments and I think the proposed rule is unnecessary and
FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
Hello. I firmly oppose this FINRA Regulatory Notice. I am the one who should have agency in my financial decisions and it is not up to regulators to only let a certain subset of the population have access. Considering the fact that wealth is a factor, this is showing preferencial treatment for the wealthy and is completely unacceptable. In addition, I should not need to prove to regulators that I
I understand that you through FINRA Regulatory Notice #22-08 are considering legislation that would likely eliminate my ability to buy leveraged funds, inverse funds, and other public investments. I oppose these restrictions on my right to invest. I should be able to consider risks and determine what public investments are appropriate for my family, not a regulatory body. In todays financial