I was Chairman of a Panel. At the Pretrial Hearing Claimant asked for an an Expedited Hearing as his client was elderly and ill. The attorneys had first been asked if the Panel , as constituted was satisfactory and t]both counsel agreed it was. The panel requested an expedited hearing and Respondent counsel advised they were too busy and not available. As Chairman i advised that an expedited
INFORMATIONAL
Weighted Average And Special Pricing Formula Trades
Effective Date: July 17, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading & Market Making
Training
Transaction Reporting
Executive Summary
On May 31, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (
As a small retail investor, I use and have been using for the past 12 years, several complex products to enhance my returns in order to save enough for my retirement. I object to any rules that would deny my access to these products as it would put my retirement goals in jeopardy. ESPECIALLY any cool down periods that may be imposed and possibly lock in temporary losses. That being said I am
I oppose the proposed rule changes from FINRA that may prevent or restrict investors from buying a broad range of public securities designated as complex products.
I believe that while consumer protection is key, the overarching trend of the past 20 years has been towards greater consumer choice in their investment options. Although this has at times led to deviations from what one may argue is
Although it might be good intention to enforce more rules and regulation for leveraged and inverse ETFs. The enforcement could create unfair conditions for investors. Leveraged and inverse ETFs might have their own unique characteristics. But once put on the market and traded freely by market participants, the market force will help regulate behaviors of investors. All investments have risk. And
I oppose the proposed rule regarding increased restrictions on trading certain funds / securities. I, and other members of the public, am capable of making investment decisions and can suitably analyze the benefits / drawbacks to various investments. Taking risks is a fundamental part of the human experience, and placing further limits on the kinds of people who can trade certain products will
I am an individual investor who utilizes leveraged ETFs to get leverage with investing. For the small portion of my portfolio that I dedicate to leveraged ETFs, they are an excellent source of taking on a little more risk with a small amount of capital. As long as people are aware of the potential risks with leveraged ETFs like huge drawdowns and fund closures, I think there shouldn't be
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
Order entry personnel are not required to register under Series 55 as equity traders based solely on the fact that they enter orders into routing systems, which send the orders to clearing firms for execution. Also, not all persons to whom equity traders report need to be Series 55 registered.<br/>
it's critical you don't start limiting investors. when a government thinks it's a good idea to tell you what you can and cannot invest in, well, then government is in the wrong and the people won't want to be in the country anymore and businesses will leave and the government will be labeled as hostile to any future investments this putting the country in
