TO: All NASD Members
The Securities and Exchange Commission has approved amendments to Article III, Section 28 of the Association's Rules of Fair Practice and the amendments are hereby declared effective as of May 1, 1983. These amendments were previously approved by the Association's Board of Governors and by a vote of the membership.
Section 28 addresses the responsibilities of
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Naked shorting, synthetic share creation, and dark pool order flows for payment need to stop. The algorithms are out of control and have caused our financial systems to be nothing more than programmed manipulation by hedge funds which do not have the interest of the retail trader at heart. Shorts need to report daily and FTDs need to be fully resolved by day 13th - not just the minimum payments
I have complete understanding of the securities I buy and the risks associated with them. From options as well as leveraged ETF s
The ability to freely use stocks, permitted my life to be better
My children have benefited as well
G. A. REPPLE & COMPANY101 NORMANDY RD, CASSELBERRY, FL 32707G.DISTRIBUTORS, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.RESEARCH, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.W. SHERWOLD ASSOCIATES, INC22994 EL TORO ROAD, LAKE FOREST, CA 92630G1 EXECUTION SERVICES, LLC175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604GAGNON SECURITIES, LLC1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW
NASD Notice of Meeting and Proxy
Leave leveraged funds alone! They have served me well by adding significant gains to my retirement assets.
tHE LEVERAGED AND INVERSE FUNDS ETFS HAVE SERVED US WELL. dO NOT CANCEL OR CHANGE THE RULES FOR INVESTING IN THEM.
