I believe that the complexity of Leveraged ETFs is correctly matched with the current required notice and acknowledgement. Further restrictions on these products are very likely to be unfair to everyday Americans. Retail investors can and should be able to choose the level of risk and volatility that matches their investment knowledge and interest without needing to be already experienced or
This Special Notice to Members provides guidance to members in filling out the Interim Forms U-4 and U-5, which become effective on March 16, 1998, and in understanding what information NASD Regulation, Inc., will release as part of its Public Disclosure Program. This guidance will be updated and supplemented as necessary and can be found at the NASD RegulationSM Web Site at www.nasdr.com.
The
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1990, the following 13 issues joined Nasdaq/NMS, bringing the total number of issues to 2,609:
Symbol
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundTradingTraining
Executive Summary
The NASD is publishing this Notice to inform members of the terms and conditions of a Securities and Exchange Commission (SEC) staff no-action letter recently issued to the Chubb Securities Corporation (the Chubb letter), which sets forth the SEC's policy on broker/
Summary
FINRA has adopted amendments to the Rule 6700 series (Trade Reporting and Compliance Engine (TRACE)) to require members to report to TRACE transactions in U.S. dollar-denominated foreign sovereign debt securities. The amendments will take effect on November 6, 2023.
The amended rule text is available in the online FINRA Manual.
Questions regarding this Notice should be directed to:
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 1, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,004:
Symbol*
Company
Location
BYTE
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS JULY 16, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article I, Section (e) of the NASD By-Laws that would clarify that branch offices of NASD member firms located outside of the United States fall within the definition of "branch
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and should be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-1
January 8, 1985
Martin Luther
Nominees for Vacant FINRA Board of Governors Large Firm Seats
FINRA Notice of Special Meeting of Small Firms and Proxy
