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Martin Middleton Comment On Regulatory Notice 22-08
I am opposed to restrictions on my right to invest using leveraged and inverse funds. I am an old guy who has only become an active investor in the last couple years. I have a modest portfolio. The big guys have many advantages in the markets. I have found that using leveraged and inverse funds enhances my opportunities. The considerable risks are easy to understand but with careful use the
Notice To Members 93-49
Comment Period Expires August 31, 1993 SUGGESTED ROUTING Senior ManagementInstitutionalLegal & ComplianceSyndicateSystemsTrading Executive Summary As part of its ongoing efforts to ensure investor protection and enhance market quality, the NASD® Board of Governors, at its July 16, 1993 meeting, approved issuance of a Notice to Members soliciting comment on its action to
Regulatory Notice 08-81
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
Portfolio Margin and Intraday Trading
The Portfolio Margin and Intraday Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
515. Fairness Opinions
All capital acquisition brokers are subject to FINRA Rule 5150. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
512. Private Placements of Securities Issued by Members
All capital acquisition brokers are subject to FINRA Rule 5122. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
457. Custodian of Books and Records
All capital acquisition brokers are subject to FINRA Rule 4570. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
454. Member Filing and Contact Information Requirements
All capital acquisition brokers are subject to FINRA Rule 4517. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
453. Reporting Requirements
All capital acquisition brokers are subject to FINRA Rule 4530. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
416. Verification of Assets
All capital acquisition brokers are subject to FINRA Rule 4160. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.