What is more diabolical? Taking away the ability for everyday anyone's to protect their wealth, and maybe even obtain large gains during a market bear, or not making the knowledge about these products more readily available for the everyday anyone to educate themselves on how to use them properly, and to their best advantage. Or is doing both the most diabolical?
These assets are not
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
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
I’m proud to announce that IDG's Computerworld has named FINRA No. 1 among midsize companies on its 2020 Best Places to Work in IT list. This is our ninth appearance on the annual list, but beyond being No. 1 in our category, this one is particularly special.
Here’s why.
The prevailing theme among the organizations that were recognized this year was a focus on career development and
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
SUGGESTED ROUTING
Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
For Your Information
National Association of Securities Dealers, Inc.
June 1989
Test Date and Site Changes for June and July Examinations Announced
July First Saturday Date Change
The first Saturday exam session date for July has been changed to July 8, 1989, for all test centers because of the Independence Day holiday that falls after the first weekend of the month.
Requests for
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the third quarter of 1986. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
86-48
July 8, 1986
NASDAQ National
Women’s financial influence is growing, but they may not be making the most of their increased financial power. Investing can seem intimidating, but it doesn’t need to be. Here are five ways women can take charge of their financial futures.
