There needs to be a far stronger watch on naked short selling that is clearly a major issue in the current market. Investors should have full transparency to what's going on within the markets they invest their money in. The entire world has their eyes on the US Financial system at the moment. The result of the lack of oversight and control has put extreme distrust in the American financial
FINRA 21-19 is something this country has needed for a long time -- financial institutions, hedge funds and the like need to be better regulated. I didn't know a lot about the market before this year, but what I have learned is that there are too many loopholes, and a lack of enforcement of existing regulations, that allows big players to make money at everyone else's expense. Synthetic
As a CPA and investor for over 40 years, Im writing to express my deep concern that proposed rules being considered by FINRA will limit my access to leveraged and inverse funds. These products are an important part of my investment strategy that help me mitigate risk and protect my long-term investments during market downturns.
Balancing my long-term holdings with inverse funds allow me to hold
To The Financial Industry Regulatory Authority (FINRA), I want to continue having the ability to freely invest in a broad range of public securities designated as complex productsincluding the leveraged and inverse funds offered by ProShares. These "complex products" have enabled me to protect my retirement portfolio from severe financial losses. Perfect example: The current "
Summary
FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within
Last Voting Date: July 16, 1999
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IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 21, 1986.
Members of the National Association of Securities Dealers, Inc. (NASD), are invited to vote on certain amendments to the NASD Rules of Fair Practice and By-Laws contained in Exhibits A and B to this notice. These amendments are described below. Prior to becoming effective, the
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Notice of Special Meeting of Large Firms and Proxy
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
