GUIDANCE
Margin Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Options
Operations
Senior Management
Margin Requirements
Options
Rule 2520
Rule 2522
Executive Summary
On April 3, 2006, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend NASD
Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposal to rescind the Guidelines and to amend Article III. Section 35 of the Rules of Fair Practice to include items that were contained in the Guidelines and would
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange
Leveraged and inverse ETFs are an important option for individual investors. They are NOT difficult to understand. Individual investors should have access to be able to both attempt to enhance returns and to hedge investments.
Equity investments in general are risk assets and do not have guarantees.
Investors and the public in general should have the right to decide what to do with their asset and wealth, where and how to invest to maximize their investment return. All investors, individual or institutional, should have equal access to all types of investment products.
I value the ability to make my own choices in which assets I want to invest and not be limited by government arbitrary decision of who is of high net-worth. As an individual investor, I invested in BITO so that I may have access to the broader spectrum of cryptocurrency and blockchain.
Revision to Net Capital Treatment of Clearing Agreement Penalty Clauses
In the Regulatory Short Takes section of the Spring 2000 Regulatory & Compliance Alert, Volume 14-1, NASD indicated that all or a portion of the amount specified in a clearing agreement as a termination fee would be treated as a charge to the introducing firm's net capital. The Question and Answer included in
May 2, 2003
Below are the order report formats for the New Report, Cancel/Replace Report, Combined Order/Route Report, Combined Order Execution Report, Route Report, and Execution Report, which will be effective in the OATS Testing environment on July 14, 2003 and in the OATS Production environment on July 28, 2003.
New Order Report
Seq.
Name
Data Type (Length)
M/C
The restriction of investment in non-traditional stocks and bonds is a driving force in making the investment playing field unlevel between the regular Americans and HNW individuals/institutions. There is no benefit by limiting the playing field to the average American, and reduces the ability of wealth creation along with hedging abilities that HNW individuals have.
Inverse and leveraged ETFs
