Displaying 4301 - 4310 of 4654 Results
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceOptionsTrading
Executive Summary
Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds members of
Remarks from the FINRA Annual Conference
Summary
Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a number of
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to Articles VII and X
FINRA, the North American Securities Administrators Association (NASAA), and the staff of the SEC's Office of Investor Education and Advocacy have joined together to provide this warning to investors about promoters targeting retirement accounts, as well as to provide a few key considerations for investors thinking of using 401(k) withdrawals or loans to purchase securities.
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
HiveQLUnit is a library of JUnit extensions for unit testing Hive scripts. In this tutorial we will explore how to create test cases for Hive scripts and then show how to implement those test cases using HiveQLUnit.