The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing.
So you won't do your jobs and limit what MMs and hedge funds can do, but you want to regulate what retail investors can and cannot invest in?? The leveraged funds give everyday retail investors a vehicle to make a little bit more than picking individual stocks. For those of us that don't trade options, especially on individual stocks, the leveraged funds are a way to invest in whatever
I am opposed to Rule #22-08. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I should not have to demonstrate an net worth arbitrarily set nor be required to obtain broker permission to invest. I should not have to take a test to invest in public securities
I use these so-called "complex" products to hedge my longs in various accounts at certain times I judge market risk to be high. How am I supposed to hedge my IRA without leveraged/inverse products or options? Is there some reason FINRA doesn't want me to hedge against a possible decline in the value of my long holdings? I am a very experienced investor, I'm a big girl and I
Hello just a few concerns about sec proposed rule#57 I believe it should be my choice not regulators should be able to choose the public investments that are right forme and your family. Public investments should be available to all of the public, not just the privileged. I also believe I shouldn't have to go through any special process like passing a test before I can invest in public
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
It may be deemed conduct inconsistent with just and equitable principles of trade and a violation of Rule 2010 for a member or a person associated with a member to:
(a) fail to submit a dispute for arbitration under the Code as required by the Code;
(b) fail to comply with any injunctive order issued pursuant to the Code;
(c) fail to appear or to produce any document in his
It may be deemed conduct inconsistent with just and equitable principles of trade and a violation of Rule 2010 for a member or a person associated with a member to:
(a) fail to submit a dispute for arbitration under the Code as required by the Code;
(b) fail to comply with any injunctive order issued pursuant to the Code;
(c) fail to appear or to produce any document in his possession or
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference
