SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on two proposed rules, National Association of Securities Dealers, Inc. (NASD®) Rules 2315 and 2350, which would require members to review
Update to Security Futures Risk Disclosure Statement and Supplement
Comments.I am not in favor of proposed limits that may restrict my access to L&I Funds or to disqualify me from trading L&I Funds or other complex products.
I have a strong understanding of the characteristics and risks of L&I Funds, and that their purpose is for short-term active trading, and that they should be monitored regularly.
As an individual we should have the right to exercise the daily leveraged and intervein ETF'S in our own portfolios as we are aware of the risk. We have a strong understanding of the characteristics and risks L & T funds etc. That we are monitoring the L & T funds. My brokerage firm provider us with the warning risks that is associated with L & T funds and other
I am an engineer and has strong understanding of the characteristics and risks of L&I Funds, and that their purpose is for short-term active trading. I never invest in these funds for longer term. I can say there is nothing complex to understand how L&I funds work. America is a country of equal opportunities so equal trading rights should be given to retail investors as well as
I do not agree with FINRAs proposed limits that may restrict my access to Leveraged ETFs or disqualify me from trading L&I ETFs or other complex products. I have a strong understanding of the characteristics and risks of L&I Funds, and that their purpose is for short-term active trading, and that they should be monitored regularly. My broker provides me a description of the
Please do not limit/restrict my and other investors' access to L&I Funds or disqualify us from trading L&I Funds or other "complex products".
I do have a strong understanding of the characteristics and risks of L&I Funds, and that understand that their purpose is
for short-term active trading, and that they should be monitored
Please do not limit/restrict my and other investors' access to L&I Funds or disqualify us from trading L&I Funds or other "complex products".
I do have a strong understanding of the characteristics and risks of L&I Funds, and that understand that their purpose is for short-term active trading, and that they should be monitored
