I have been using index Inverse Leveraged ETFs (I-LETFs) as a portfolio hedge, given that my single stock positions can be volatile, and that my portfolio is not correlated with the indices I inverse.
I use I-LETFs in my active trading account, not in my long term investment account.
The I-LETFs are usually under 10% of my portfolio--I rebalance my I-LETF exposure almost daily, to counteract the
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations under Rule 1017.
(b) "Associated Person"
Our compliance tools come in many forms, including templates, checklists and directories. These optional tools may assist member firms with:Fulfilling their regulatory obligations;Implementing written supervisory procedures (WSPs); andTailoring their policies and procedures to reflect their size, business model and regulatory needs.Using these tools does not guarantee compliance with, or create
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.
Worldwide, cloud computing has enjoyed rapid
GUIDANCE
Security Futures Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registered Principals
Senior Management
Continuing EducationRule 1022 (Categories of Principal
Registration)Rule 1032 (Categories of
Representative Registration)
Security Futures
Executive Summary
On October 16, 2006, NASD filed with the
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With Risk Disclosure Requirements; Failure Appropriatelyto Approve an Account for Day
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
INFORMATIONAL
TRACE Fees
The fee changes are effective as of October 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Operations
Senior Management
Rule 7010(k)
TRACE FeesRule 6200 Series
Executive Summary
On November 15
Executive Summary
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and