Displaying 3551 - 3560 of 9026 Results
I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds
I have invested for many years in inverse and leveraged funds for my investment portfolio. I use them to hedge positions as well as enhancing returns. I should be able to invest at my own risk without permission from regulators. As a college graduate in math, I am able to understand this product! I should not have to go through a test to be able to invest In securities that are public. For my
I oppose restrictions on my right to invest in public investments. I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Incorporated) $1.5 million and ordered the firm to pay more than $4.6 million in restitution for rule violations relating to the sale of corporate bonds to retail customers at excessive prices. The firm was cited for charging
This session provides an overview of proposed financial and operational rules and the current rulemaking environment. Join panelists as they discuss current financial and operational risks and issues that firms address in their day-to-day responsibilities. Attendees also learn effective practices taken by compliance and risk professionals to monitor financial and operational risks.
Do not interfere with DIREXION Funds. They provide an invaluable service for market choice.
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
On Monday, May 5, 2014, FINRA introduced a new tool called the Dashboard that provides information about the status of offerings filed for review in the Public Offering System.
FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation Electronic Files (AREF)Annual ReportsBlue SheetsCustomer Margin Balance ReportingDerivatives and Other Off-Balance Sheet Items Schedule (OBS)Distribution ManagereFOCUSFINRA Contact SystemFINRA Firm Clearing Arrangements FilingFINRA Rule
Guidance to Members Affected by Hurricane Sandy