(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The
(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
I should be able to choose the public investments that are right for me and my family. Leveraged and inverse funds are important to our investment strategies. Leveraged etfs will run well with enhanced return if the trend is up whereas inverse ETFs help to protect our investments during market correction and downtrend. Hence, public investments, especially hedging, should be available to all of
Member may not present related performance information to "qualified institutional buyers" who are potential investors in 3(c)(1) funds.
The way the stock market is set up for the larger entities to easily outweigh performance of the average retail trader is completely absurd. With stocks that are being massively shorted, much like Tesla (TSLA) was back a few years ago, and other stocks now like Gamestop (GME), AMC Theater (AMC) , Nokia (NOK) and many more, it allows such a distrust in the system for who can make money FAIRLY. If
It is commonly understood that for every transaction the terms of the exchange is known by both parties and executed faithfully to produce what we consider the stock market. Technology now allows for near instant transactions for market participants, therefore the due diligence of reporting that transaction to regulatory authorities should occur simultaneously with the transaction itself. This
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
This Notice announces, effective immediately, clarifications of interpretations of the FINRA margin rule regarding minimum equity requirements in FINRA Rule 4210(b).
Questions concerning this Notice should be directed to:
James Barry, Director, Credit Regulation, Office of Financial and Operational Risk Policy, at (646) 315-8347 or by email;
Joseph David, Principal Specialist, Credit
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
Exemptive relief is granted based on the following considerations: 1) the contribution was inadvertent, de minimis, and was returned; and (2) the contribution was made to a candidate for public office who never had the opportunity to influence the award of municipal securities business (Candidate was not an elected official, was never elected to the office for which he was a candidate, and he died during the election campaign).