Displaying 411 - 420 of 1859 Results
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for the Securities
Risk and reward go together in Free Enterprise. The responsibility to understand risk and then willingness to engage are an individual's prerogative. Those of us who are educated, responsible, and recognize the downside should be allowed to invest in leveraged funds. I am somewhat offended that people who don't understand the risk "cry foul" when they don
Hello,
I oppose the restrictions to my right to invest. The proper use of leveraged products is a key part of my financial plan. I run a systematic quarterly rebalancing plan that is powered by leveraged ETFs which I have used successfully for several years. These funds are important to me as they improve my performance over the long term. I am not engaged in reckless trading, and I
Dear FINRA,
I run a systematic quarterly rebalancing plan that is powered by leveraged ETFs. I know what I am doing. The proper use of these leveraged products is a key part of my financial plan.
These funds are important to me. They improve my performance over the long term. I am not engaged in reckless trading, I understand the effect of daily magnification of an indexs price movement, and I
While we all hope our marriages will be successful, sometimes life just doesn’t go as planned. Consider these 6 important tips about divorce and your investments.
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the violations
Please do not regulate these Inverse funds! They are a vital part of my trading strategies! I understand the risks involved and I plan accordingly.
I strongly oppose your planned limitations on leveraged ETFs. I dont need regulators to tell me what is good for me.
May 1999
Internal Testing And Contingency Planning
Internal Testing
No matter the size of your firm—two people, 200, or 20,000-you should be mindful of potential Year 2000 challenges. Internal testing of all systems, especially those that are mission critical, should now be in progress or completed.
For example, stand-alone personal computers (PCs), networked systems, and related software
I plan on investing in the present and future in leveraged and inverse funds. I oppose any legislation that restricts access to invest in these funds. Thank you