Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
This letter is to oppose each and every one of the extensive restrictions being contemplated in Regulatory Notice 22-08. The proposed rule should be revoked. It is the latest open attack on the common man’s access to the new class of leveraged products, and in so doing, it is illegal.
The original attack came from the SEC in late 2019. That proposed rule, File No. S7-24-15, which limited
This effort is quite extraordinary. It was clearly an enormous endeavor to create the taxonomy and build out the site. I think that many other agencies will benefit from this work and would be very interested in your process, the time and resources required to undertake this type of initiative. It is daunting to think about where to begin.
In brokerage accounts such as TD Ameritrade, we are free to trade stocks and financial instruments such as leveraged and inverse funds without any pressures of dealing with an actual broker. There is no solicitation or advertising on these sites that points us to any particular fund or stock. Please don't restrict this freedom.
(a) Alternative Trading Systems' Recording Requirements
(1) Each alternative trading system that accepts orders for security futures (as defined in Section 3(a)(55) of the Exchange Act) shall record each item of information described in paragraph (b) of this Rule. For purposes of this Rule, the term "order" includes a broker-dealer's proprietary quotes that are
Thank you for your letter of February 9, 2022, requesting information regarding the arbitrator selection process FINRA Dispute Resolution Services (DRS) uses, and how at process. FINRA takes this issue very seriously and is fully committed to ensuring the integrity of the arbitrator selection process.
This appears to be part of campaign by ProShares to protect their inverse ETFs. Their sponsorship of the comment site (leteveryoneinvest.com) is hidden. It fails a basic transparency test.
Please review and consider the list of investments to see if they are all equally or substantially toxic to the general public.
It is a shame their isn't a malpractice standard for investment firms.
