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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-1 Definitions.
For the purposes of §§ 240.15Fi-1 through 240.15Fi-5:
15Fi-1(a) The term bilateral portfolio compression exercise means an exercise by which two security-based swap counterparties wholly terminate or change the notional value of some or all of
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
Comments:please keep trading for this ETFS for private traders.
This is not fair for private investors to hedge market volatility
I oppose further regulations on private individual investors.
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
I am a retired citizen and an active private investor. I never had a job that provided me with a pension. I taught myself how to invest through trial and error. One of the great developments in investment products at the end of 1997 was that of ProFunds' making available inverse funds and leveraged funds. Both of these categories of mutual funds provided me more flexibility in how I
The government should stay out of private financial decisions.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Private Securities Offerings (Series 82) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a private securities