Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
The FINRA Entitlement Program requires that each organization designate a Super Account Administrator (SAA). The SAA is entitled as an administrator to all applications participating in the FINRA Entitlement Program that are available to the organization.
Upcoming District Committee and District Nominating Committee Elections
NASD formed the Mutual Fund Task Force (“Task Force”) to consider issues relating to soft dollars, mutual fund portfolio transaction costs and distribution arrangements. The Task Force was established after discussions between the Securities and Exchange Commission (“SEC”) and NASD staffs, to provide guidance to the SEC as it considers these issues.
The Task Force is comprised of senior industry
Upcoming District Committee and District Nominating Committee Elections
FINRA is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms manage their obligations related to information collected from those customers and other individuals that may provide data to firms. Please note that each item requested is specific to the subsection header.
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 20, 1983
The National Association of Securities Dealers, Inc. (the "Association") is submitting for membership vote a proposed new section of the Rules of Fair Practice which, if adopted, would replace the current Interpretation of the Board of Governors — Review of Corporate Financing
I have been managing my own investments for 35 years. I was trained at the graduate level to do this, but was never employed in the financial services industry.
Leveraged and inverse, open and closed funds, are useful instruments. In appropriate circumstances, I use these instruments. They are especially helpful for generating routine income (in retirement) and setting up hedges.
Not
Hello,
As someone who has used leveraged ETFs quite successfully over many years I absolutely do not support any additional regulations or restrictions on individual investors using leverage, futures, options, or any other manner of "complex" instruments as part of a self-directed investment strategy.
I actively researched and educated myself on these financial instruments
