TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
I have been investing in leveraged funds over past 15 years. Any change in rule is going to affect my ability to come ahead from my losses. In the event any change should happen, FINRA should cover all my losses. I do have advanced education in science and math, fully capable of understanding the mathematical risk involved. If these tools are available only privileged ones, FINRA would be making
I am extremely upset with this proposed rule as I want the ability to choose what public investments are right for me and my family, and not some bureaucratic regulator that knows nothing about me or my situation. I should not be forced to go through a bunch of ridiculous hoops and processes to be able to decide how I should invest my money. I am well aware of the risks of leveraged and inverse
I should be able to be able to short stocks just like the professionals. They would not like to be restricted either! It is an unfair playing field when you have to play by different rules than other investors. It's called cheating! I should be able to not have restrictions on my IRA either and should be allowed to short stocks like other investors and now you want to take away the only
Inverse funds are an important investment vehicle for me to offset downturns and hedge against certain market conditions. I am very concerned this type of investing vehicle would be restricted or taken away from an average investor like me. Inverse funds have allowed me to attack inflationary impacts head-on without using more complex put & call techniques, which are more difficult to
I not regulators should be able to pick the investments that are right for me and my investment strategies. This is another regulatory overreach that serves the institutions and not the public, it should never be accepted. I do not need to be patronized by FINRA or any government institution on how I invest. It is those same dumb and shortsighted limitations that are driving social security into
JOINT REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Correspondence—General
Electronic Communications
Rule 2210 (Communications with the Public)
Rule 2211 (Institutional Sales Material and Correspondence)
Rule 3010 (Supervision) Supervision
Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
Sec. 5.13 The National Adjudicatory Council shall appoint a Review Subcommittee to determine whether disciplinary and membership proceedings decisions should be called for review by the National Adjudicatory Council under the Rules of the Corporation and to perform any other function authorized by the Rules of the Corporation. The Review Subcommittee shall be composed of no fewer than
The purpose of this Rule 9700 Series is to provide, where justified, redress for persons aggrieved by the operations of any automated quotation, execution, or communication system owned or operated by FINRA, or FINRA Regulation, and approved by the SEC, not otherwise provided for by the FINRA rules.
Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2008-021 eff.
