FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
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Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Thursday, July 4, 1996, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be
What good is regulation if there is no enforcement? For far too long, market makers and institutions have been playing the game with their own rules whilst stealing money from the American public. How can this possibly be a free market with the lack of transparency and open manipulation that occurs in the stock market every day for the past several decades? There are a number of things that need
This is great and all along with all the new regulations by the SEC, DTCC, FINRA, etc. However, these regulations are toothless in nature and are either not enforced by regulators who look the other way or they impose a very minimal fine that does not affect the institutions violating the law. There are a set of rules for the retail investor then there is a set of rules for market makers and
FOCUS Filing Dates
NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines remaining due dates for 2000 reports. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report,
It is important for FINRA to adhere with principles-based disclosure regime when promoting rules and regulations. Prohibit retail investors to participate in complex products and options not only violate with the regime, but also reduce the chance for retail investors to manage their risks by using complex products and options. Please noted that majority of complex products, especially exchange-
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Do you remember the tax act of 1986, it took back what was granted to investors in the 1981 tax act and slammed the entire economy into reverse for about five years. This is the same kind of action.
I would not use inverse ETFs, or short market.
I keep the exposure as s small portion of an overall portfolio, and have a large cash balance. So, using these, I can keep cash % larger.
Biggest single
I wholly and completely oppose any and all regulation that will take away from my ability to manage my finances in a manner that is appropriate to my level of comfort concerning risk and returns. Retail investors do not need to be saved from themselves. The proposed rules being considered are a simple tactic aiming to keep the rich, rich and the the poor, poor.
This proposal will take the
Hello. While crafting this new regulatory notice, Im sure the appropriate folks thought they were doing the correct thing. I am not so sure. By limiting what I can and cant buy, this new rule would potentially limit my ability to achieve my long term financial goals. The definition of "complex products" is not well defined. I have spent the time to educate myself and should be able to
