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FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
You are requested to comment on these proposals. Let's face it, the Hedge Funds are going to be using their voices to prevent these changes from occurring so we need to use our voice too. There are a lot more apes than Hedgies. I've cut and pasted just some of the proposals (man, if you think this is a long and dry read, wait until you read the webpage): - Account-level Position
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Executive Summary
On January 18, 1993, the NASD's Board amended its Public Disclosure Program to make additional regulatory information on its members and associated persons available to the public. The Board's action will expand this program to include civil judgments and NASD arbitration
The ability for investors to invest in leveraged ETFs should not be altered in any way. ProShares and other firms do an excellent job informing investors of the inherent risks in leveraged ETFs. It is then up to the investor to make his/her own informed decision on whether he/she has the risk appetite to invest in such funds. In a free market democratic society, investing ones own earned funds
Comments: I don't believe FINRA should disallow "retail" investors all of the options that hedge funds and more experienced traders have access to. I think education is much more valuable than preventing people from having access to "complex products". My brokerage firm already provides warnings and information about investing in leveraged and inverse funds. It is in my
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and
Please, I am asking for a more transparent and up to date form of reporting short interest and dark pool information. All of these ideas listed above are what I want. The fact that large players in the market have info that retail investors do not, creates an unfair advantage. All we are asking for is transparent, accurate, and immediate information, along with the timely enforcement of rule
1. Open institutional short positions should be disclosed after the end of every market close. 2. Shares in an institutional short position should be serialized in order to attempt to prevent rehypothication and to confirm the shares exist. 3. Failure to delivers should be disclosed within 1 day after the settlement date. 4. The penalty for not reporting information on open short positions or
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).