Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
Effective March 18, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On
Proxy statements are typically sent in the spring, indicating the start of “proxy season”—when most public companies prepare to hold their annual shareholders meetings. The proxy statements provide information relevant to shareholder votes scheduled for those meetings, including board elections, compensation packages, and shareholder proposals.
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
Effective January 1, 1998, the National Association of Securities Dealers, Inc. (NASD®) will deduct delinquent unpaid
There are dozens of key economic indicators in the U.S. alone. Here, we'll take a look at those frequently cited to help you make sense of the headlines.
I use leveraged and inverse funds as a part of my regular portfolio and I don't need a bunch of [REDACTED] to be able to do it!
I should be able to choose the investments that are right for me and my family. I should not go through any special process to invest in public funds.
Working class people that take the time to learn about investing and that take the time to invest their money should be able to do so how they see fit. This opportunity shouldnt be taken away from us or taken away from people that want to do it in the future.
Investors don't need these regulations. We understand that investing in financial markets can be risky. They can be appropriate in certain circumstances, and we can decide on our own where we want to invest. Passing a test or any other special process will only favor the "big boys" over individual investors. I use leveraged funds as a small part of my overall
