I have been investing since 1994; and got first into stock trading. However; after 2007, and especially when there were more funds available after 2011; it opened up the possibility to take advantage of fast/big drops, or trade of commodities; through a derivative fund. Even if they go against you; the prospectus and history charts allow investors to make decisions on whether historic contango/
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud warning investors of aggressive promotions touting stocks that claim to capitalize on the e-cigarette and vaporizer, or "vape," market. FINRA's Alert follows the Securities and Exchange Commission's
New Member Applications
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Executive Summary
NASD is issuing this Notice to inform members and applicants for membership
INFORMATIONAL
Certificates of Deposit
Effective Date: October 8, 2002
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Certificates of Deposit
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to Members 02-28
Enroll here to complete required FINRA exams, whether you are new to the industry or are seeking to broaden your career.
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EXECUTIVE SUMMARY
On October 26, 1990, the Securities and Exchange Commission (SEC) approved the risk management functions of the Automated Confirmation Transaction (ACT) service. ACT risk management began operating Monday,
(a) FINRA Filing Requirements
(1) As set forth in paragraph (c)(2) of Rule 2210, a member must submit all retail communications concerning security futures to FINRA's Advertising Regulation Department at least 10 business days prior to first use.
(2) The requirements of this paragraph (a) shall not be applicable to:
(A) retail communications concerning security futures
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
I completely oppose restrictions that could impact my ability to trade in both leveraged and inverse ETF's. The US equity markets have recently undergone several bouts of volatility so far in the first 4 months of 2022 with the S&P 500 being down about 14% currently. In this current environment inverse ETF's have been most instrumental to me in obtaining short