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As an informed investor --I would be limited in my options if my ability to invest in proshares inverse / leveraged funds -- pls leave them as is -- we know what we are doing
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws and Rules of Fair Practice require that complete and accurate information be provided on Forms U-4 and U-5 and that members are responsible for investigating a
The proposed rule presupposes that most people are Incapable of making informed decisions about their investing. It is tantamount to prior restraint on the right of individuals to determine for themselves what companies they will invest in.
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and
Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter
Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. The Report combines and replaces two previously published annual
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
It's about time. The retail investor deserves access to the same information institutional investors have.
I would like for more transparency when it comes to sharing trading information, especially considering shorts.
For a fair market all short positions should be public. All information she be made public.
As a retail investor, I do not wish to see so-called Complex Products subject to additional regulation. Every major trading platform provides lengthy disclosures about these products. All investors using these products already have the tools necessary to understand them and become familiar with the risks if they so choose. Further restricting access to these products by ordinary investors