FINRA is reminding firms that the requirement for each ATS to acquire and use a single, unique MPID when reporting information to FINRA will become effective on February 2, 2015.
Dear SEC, How dare you go after these instruments. Focus more of your energy on companies which do insider trading and when you do give fines they cannot be less than the money made. Inverse funds and short selling and leveraged funds give some advantages to average investors that institutional investors dont need. Please reconsider thiese "rules". Banks should not trade FDIC leveraged
The proposed rule that would restrict MY investments choices is incompatible with a free society. I am an adult and make my own decisions in regards to all aspects of my life, including my investments. FINRA has no role in restricting those decisions. I fully understand what a leveraged fund is, and what an inverse fund is, but that is not the main point. The main point is I should not, after 20
I am against SEC Proposed Rule #S7-24-15. I not regulators should be able to choose the public investments that are right for myself and my family. Public investments should be available to all of the public, not just the privileged. I use covered call options on inverse and leveraged funds to make money, regardless of the market direction. Yes, there are risks, but they are risks I understand
The investment landscape is currently regulated at a high level. While I understand the importance of ensuring that nefarious inversely schemes are kept at bay, the ones who do follow the guides, rules and laws should be allowed. These types of investments give me hope that I will actually be able to retire someday without reliance on social security which is a bloated beast. Funds such as
This new purposed Rule is very concerning and cause's more harm than good, It is not the job of Regulator's to decide what individuals can purchase.The autonomy of what an individual buys with their own money, that should be in there hands, only their Hands. allowing individual investors to utilize these tool, provides access to more affordable professional strategy's! THIS IS OVER
TO: All NASD Members, Associated Persons and Other Interested Persons
EXECUTIVE SUMMARY
NASD rules and policies consider associated persons of a member to be employees of the member, regardless of their locations or compensation arrangements. The notice addresses regulatory issues that relate to off-site employment of registered persons, including supervisory procedures, private securities
FINRA Requests Comment on a New Academic TRACE Data Product
Overview – The following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA) or Form Continuing Member Application (CMA) regarding new private placement business. This checklist is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review and to aid
GUIDANCEOATS Reporting RequirementsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementSystemsTradingOATSRule 6954(c)Executive SummaryOn September 17, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(c) to require that electronic communication networks (ECNs) that electronically receive
