SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
SEC REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
I would expect firms, banks, funds, institutions to have to disclose short positions as well as naked short interest as it directly affects company stock value which affects investor's investments. Make it a rule and enforce it.
INFORMATIONAL
Arbitration Awards
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Arbitration Awards
Motions to Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
In August 2000, the National Association of Securities Dealers, Inc. (NASD®) published Notice to Members 00-55 which announced that NASD Dispute
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed rule that would restrict the
An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange. An ATS that registers as a broker-dealer must also comply with the obligations associated with being a registered broker-dealer, including FINRA membership and compliance with FINRA rules.
SUGGESTED ROUTING
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
FINRA,
This new rule seems to badly discriminate against small personal investors. Why are you chasing me out of my current positions in leveraged ETFs? It is a bad plan to make the market for leveraged funds an oligopoly because it comes with the exclusion of disciplined personal investors who are capable of accepting risk.
April 2003
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
This regulation would threaten my financial stability as a consumer. The only way I protected myself against the rise in fuel price has been buying levered gasoline ETF's. Please do not move forward with the rule change. Millions will suffer because they will be stuck to investment options that only their employer can control.
New traders have to learn their job like anyone else on any other job, and learning about the risks and rewards of leveraged and inverse funds only takes a couple of quick real-life lessons. There is no need to impose a bunch of convoluted rules and regulations on these financial tools that make trading difficult for the rest of us.
