NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the study outline and selection specifications for the Limited Representative – Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination. NASD is not
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the study outline and selection specifications for the Assistant Representative – Order Processing (Series 11) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination. NASD is not proposing any
Dear Sirs,
I have been investing in leveraged securities since 1979 and have never had a margin call. For 20 years, I traded commodities on the Chicago Futures Exchange and held a full-time job as a construction Teamster. I counsel people to not do that. I just wish to make the point that I know how to safely handle leverage, and don't need a hand-holder. I do my own research, having
NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure (“Code”) by adopting a new Interpretive Material (IM) 10308 to clarify that (1) fees for service as a mediator are not included in determining whether an attorney, accountant, or other professional derives 10% of his or her annual revenue from
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the
First I would like you to read this thread: https://www.reddit.com/r/Superstonk/comments/o1sggl/the_hidden_shorts_the_correlation_of_ftds_and/ I believe that institutions are hiding the true number of short positions on certain stocks, that they are doing this using rehypothication, dark pools, and shady (fraudulent?) use of puts and calls. I ask that FINRA consider the following changes: 1.
The additional transparency and short interest reporting rules that FINRA is proposing are a welcome start. All short interest reporting should be made available to the public for 2 reasons. First, this information directly impacts all investors. Second, it is clear that there is no way possible for FINRA, SEC or any other regulator to police the markets. By making all reported short interest
Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
It's my family's money at risk. We are perfectly capable of understanding leveraged and inverse funds. Let us decide which vehicles we use. This proposal will only help the large institutions by once again handicapping the private investors even more with so called rules designed to "protect" them.
Hey, just wanted to let you know that I think this regulation is a great idea and should be adopted. Im concerned about predatory "advisors" and other bad actors selling confusing products to people who arent equipped to understand them and appreciate the govenmemt stepping in here. Please do impliment this rule.
