I have previously submitted my thoughts but want to take a minute to reiterate them. Leveraged and inverse funds play a very important role in my personal investments along with our corporate investment strategy for clients. When used by professionals, for clients who understand them, they are very useful tools for actually reducing risk and enhancing returns. This should be left to the free
I Oppose Restrictions To My Right to Invest in Complex Products, including Leveraged and Inverse funds! Any attempt to impose restrictions on the individuals right to buy these trading instruments gives the large trading firms an unfair advantage and makes the market unfair to us. Large firms have resources to use trading programs and other trading tools which individual investors do not have.
Dear Sirs, As a US citizen, I believe I have the right to choose my own investment for myself and my own family using any public investment vessels. This right should come with no further official regulation to decide if I am qualified in knowledge or risk taking since it's my own decision based on my own due diligence. In the past 20 years, Fed kept relaxing credits in order to save
Calculation of days of suspension. As was the case in prior versions of the FINRA Sanction Guidelines, recommendations for the imposition of suspensions contained herein distinguish between suspensions for 30 or fewer days and 31 or more days. In these guidelines, the NAC recommends that a suspension of 30 or fewer days be measured in business days, while a suspension of 31 or more days be
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, June 17, 1996. The information relating to matters contained in this section is current as of June 5, 1996. Information received subsequent to June 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Litwin Securities, Inc. (Miami Beach, Florida) and Harold A. Litwin (Registered
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesLegal & Compliance
Executive Summary
As part of its comprehensive program to monitor and enhance member sales practices, the NASD is publishing this Notice to remind members of their obligations under the Rules of Fair Practice when recommending CMOs to their customers. In light of the complexity and the varying risk
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective