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FINRA, NASWA Deliver Job Dislocation Resource to Unemployed Workers in All 50 States
Parties may not file letters or emails with the Office of Hearing Officers. All filings must be in the form of a pleading.
Parties must file all pleadings as separate, individual documents. Each pleading must include the caption of the case and a certificate of service as part of the pleading. Parties should not attach notices of filing or other documents as part of the same pleading, unless
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACPV.GA
Advanta Corp.
7.100
10/23/00
AEII.GA
AEI Resources
I am writing to state my opposition to any new rules (Notice #22-08) which would restrict my ability as an individual investor to use many of the investment products available, including leveraged and inverse investment products. I believe that the job of FINRA should be to assure us that the products are soundly constructed and to insure that the risks associated with their use are adequately
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock Exchange) formed
Please do not stop, block or create hurdles in my rights to be able to invest in Leveraged funds because it allows me and all investors equal access to hedge against down turns and minimize ir recoup losses faster and it also provides market transparency and liquidity and allows increased returns.
As an investor its my right to be able to participate & decide how, when and what to
On behalf of our family and relatives we would like to state that leveraged and inverse funds are very important part of our investment portfolio. In particular we use leveraged inverse funds as Hedge against long positions in hi-tech Nasdaq stocks. By prohibiting or overly regulating Leveraged Inverse funds, or creating other barriers, you as regulator will take away our ability to protect our
It is important that small investors be permitted to use all investment tools, including leveraged and inverse funds. Those tools are the only way small investors can ever hope to compete with the large investors who are allowed to use those tools. Also, the size of one's investments is not an indication of lack of ability. Many small investors have more academic degrees and training than
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced its first enforcement action involving the sales of reverse convertible notes (RCNs)
INFORMATIONAL
Conduct Of Business Abroad
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Business Abroad
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern their business