Displaying 1941 - 1950 of 9026 Results
Rule Effective April 21, 1999
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FINRA has provided transparency to over-the-counter equities (OTCE) trading for years through its public website.
I appreciate groups attempting to look out for the well being of others, however, I should be the only person making a decision on MY investments using the money I have made. No one else made that money for me. Public investments should be available to all of the public and not restricted.
I understand that there may be tests imposed and "guidelines" to be met before future
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Limiting access to leveraged and inverse leverage ETFs based on the criteria mentioned by FINRA is another move to suppress low and middle income investors to a path to generate significant wealth. The current securities market has been very volatile across the spectrum of investors from retail to institutional. All securities from small cap to mega cap entail risk that investors need to
INFORMATIONAL
Decimalization
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KEY TOPICS
Legal & Compliance
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Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is working to help make member firms aware of guidelines to begin trading in decimals in the second
You want to prevent me from trading products that are too "complex" for me unless I pass a regulator-imposed test? This seems a lot like when blacks were prevented from voting unless they passed a regulator-imposed "literacy test". My response is simple: this is despicable. You should be ashamed of yourselves. Really.
"Complex" products are
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of January 27, 1994, the following 43 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,499:
Symbol
Company
Entry Date
SOESSM Execution Level
ALMIW
Alpha Microsystems (Wts Exp 9/1/98)
1/3/94
500
HALL
Hallmark Capital Corp.
1/3/94
200
SECP
Security Capital Corporation
1/3/94
I, not you regulators, should be able to make my own decision as to what investment vehicles are right for me to own. I do not need or want to go through any special process, like reading material and/or passing tests before I can invest in special public securities, like leverage and inverse funds. Besides, the timing of these leveraged funds can be critical. Then is NOT the time to have to stop
INFORMATIONAL
FIPS Changes
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KEY TOPICS
Corporate Finance
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Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure