Leveraged and inverse EFTs have an integral place in the financial markets. I often use them for hedging which reduces the risks in my portfolio. It is not the place of FINRA to take away toys from children in a kindergarten class when the children don't play properly or well with each other. I am not saying that investment and hedging products are toys, but it is possible that when used
Julie Glynn is the Senior Vice President of Enforcement Legal. In this role, Ms. Glynn is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory Operations
Tina Salehi Gubb is the Senior Vice President of Enforcement Legal. In this role, Ms. Gubb is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory
As FINRA’s Ombuds, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, individual brokers, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA’s processes.
Ms. Gill previously led FINRA’s State
FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA President and CEO Robert Cook.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1991, the following 11 issues joined Nasdaq/NMS, bringing the total number of issues to 2,573:
Symbol
Company
Entry Date
SOES Execution Level
FBII
First Bancorp Indiana, Inc.
12/13/90
500
CATY
Cathay Bancorp, Inc.
12/14/
The problems are numerous first of all the dark pools account for 60% of transactions that way price doesn't go up when people buy. Also short positions never have to cover because they hide them in deep in the money options and just kick the can down the road. You can see examples with stocks fail to deliver and being on the threshold list - it matters not they never cover and get away with
To whom it may concern:
People nowadays have internet resources that are comparable to those of the Wall Street investors. I, for example, uses excel to calculate risk and rewards based on data collected from various brokerages/yahoo finance/bloomberg/LPLfinance...etc. A test imposed by regulators may have nothing to do with my excel calculations and probably remotely relevant to the success of
(a) Applicability of Rule
This rule applies to arbitrations involving a sexual assault claim, sexual harassment claim, or statutory employment discrimination claim as defined in Rule 13100(aa), (bb), and (dd). Except as otherwise provided in this rule, all provisions of the Code apply to such arbitrations.
(b) Number of Arbitrators
(1) Claims of $100,000 or Less
If the amount of a claim in a
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1990, the following 30 issues joined NASDAQ/NMS, bringing the total number of issues to 2,647:
Symbol
