FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
As an investor, it is my responsibility to understand, research and select investments, along with the ultimate risks & rewards. This is the same I would expect of anyone who is investing.
For leveraged funds, it is a critical part of my broad investment strategy, again knowing the full risks, up & down. All fund prospectus's provides clear picture of the
Investors should have the freedom to make informed decisions about their investment choices. There are those who of us who desire to use reasonable leverage without the burden of adopting complex and costly options hedging strategies. Leveraged ETFs accordingly provide significant value to us as ordinary retail investors. It is hard to imagine anyone who does even a modicum of due diligence (even
You don’t need a specialized degree to read a company’s financial statements and glean valuable information that can help you make your investment decisions. There’s a wealth of financial data about a company’s operations, investments, indebtedness and much more easily accessible to investors who know where to look.
The Broker Comment Process enables eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in BrokerCheck.On this page you will find information on eligibility, the Broker Comment Request Form and instructions on how to submit a comment.Who Can Submit a Broker Comment?An individual who currently is not registered with FINRA or a
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective February 6, 1989, members may obtain disciplinary information on prospective employees either through the Firm Access Query System (FAQS) or by submitting a written request to the NASD. Before
GUIDANCE
Amendments to Rule 6740
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Form 211
Rule 6740
SEC Rule 15c2-11
Executive Summary
On March 27, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 6740 relating to submission
of SEC Rule 15c2-11 information to
It is my opinion the markets should be as transparent and fair across all avenues. The lack of transparency and information tilts the scale away from the retail investor and in turn causes distrust towards further involvement. Short information should be required to be disclosed to accurately guage the status and balance of a trade, and to rule out any potential foul play or bad actors.
Reviewing and managing your investment account information is essential to ensure your funds were invested in line with your instructions and there were no unauthorized transactions. By organizing your investment records, you'll have information on hand when you need it, including when you file tax returns or if there are problems with your account.
