I am appalled that the SEC thinks they have the right to tell how and when is acceptable for me to invest in any instrument. I am a frequent investor in leveraged and inverse funds and demand that you take no actions that infringe in any way on my ability to continue to do so. These investments should be available to all, not just to a privileged few. I insist that you drop all planned actions
I'm 68 years old and have been self-employed for most of my working life. Being self-employed means investing in various IRA, SEP, Self-Employed 401K plans, etc., which I manage myself and have for several decades. The very last thing I need is for government regulators tell me I can no longer have access to leveraged and inverse funds. These investments are a large part of my
FINRA, taking such action by instructing ordinary investors that "we are not sufficiently sharp" to comprehend our investment portofolio, opportunities and our planning is a "bridge too far". FINRA, stay out, it is not needed and if this is part of the ESG movement, focus on yourselves. Let us be!! We are free to chose our own course and our own investment
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
In the early hours of Sept. 16, 1810, church bells rang to signal a call to arms in Dolores, Mexico, beginning the Mexican War of Independence. By 1821, what was once called New Spain, became the nations of present-day Central America.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
GUIDANCE
Business Continuity Planning
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Information Technology
Legal & Compliance
Operations
Senior Management
Training
Business Continuity PlanningRule 3500 Series (Emergency
Preparedness)
Executive Summary
In May 2004, NASD issued Notice to Members 04-37 regarding business continuity
Year 2000 Countdown
As 1999 winds down, Year 2000 issues will receive increased focus as public attention to these issues increase and companies in virtually every industry accelerate efforts to meet Year 2000 compliance deadlines. During this critical period, the securities industry will heighten its focus on regulatory compliance, investor communication, Year 2000 testing, and contingency
Today in the United States, nearly 40 million people are age 65 and older. This number is expected to more than double to 89 million by 2050.
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over
