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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
On September 10,1997, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® Conduct Rule 2280, Investor Education and Protection, which requires certain NASD members to provide customers with the following
Background
On December 20, 2019, the SEC approved an amendment to FINRA Rule 6750 to permit the publication of weekly aggregated transaction information and statistics on U.S. Treasury Securities. Starting today March 10, the new TRACE Treasury aggregates are published on FINRA's website.
Aggregated Reports
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury
We need more transparency in the market! No more dark pools. accurate information for everyone including three retail investor. We also need sailors to delivers to happen sooner. We need to crack down on synthetic shorts and unreported information (make the fines bigger) it’s like fraud!
Comments: I strongly support the provision of detailed, useful information about the structure, and past and anticipated future performance of leveraged ETFs, but very much object to limits or prohibitions of individuals' freedom to perform leveraged ETF trades, or to hold onto trades as mid-to long-term investments, especially where a leveraged ETF has a long, documented positive
Hello:
I am concerned about the possibility of being prevented from investing in various investments, like Leveraged and Inverse Leveraged funds.
I agree these are not for the uninformed investor. But in my case, I am informed. I used to have a series 7 license in my past. I do my own research, and make my own investment decisions. I am knowledgeable.
Please don't take away the
It is not the government's role to determine an individual's ability to understand their own finances. Therefore I oppose this notice quite directly. Information about "complex" and inverse financial products is freely available online, and any able minded adult is able to find this information easily. Just because an individual may not fully understand a
SEC Leveraged and inverse funds are used in particular situations to hedge or enhance certain positions I may have. Rather than selling some or all of a position and causing taxes, I can use an inverse fund to protect my investments. Today, my broker provides information to ensure I have the needed information about using these funds. Please don't add increased scrutiny or requirements to
I strongly support stricter reporting requirements on short positions held by market makers and prime brokerages. It is increasingly necessary that FTD information be presented to the public as a way of not only limiting abuse of the FTD system, but also to reveal obfuscated information that is not readily available to the market and is often times concealed or miscategorized in reporting.
