Rule Effective April 21, 1999
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Executive Summary
In March 1998, the Securities and Exchange Commission (SEC) approved new National Associationof Securities Dealers, Inc. (NASD®) Rules
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NASD Rule 2210
Executive Summary
NASD is proposing to amend
Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
As long as the investment vehicles are legal, legit, and risk fully documented, I see no issues in letting a typical / average investor make their conscious investment decision. I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST. As an average investor (Im currently using/ investing in proshare shorts/long 3x etf), I find most information available online and typical financial professionals discussed
Trading leveraged/inverse funds has been a boon to my ability to hedge upside and downside risk without the complexity of options. Also, through products like SARK and SQQQ, I am able to hedge against downside risk without margin.
I think smaller traders like me will lose a lot of flexibility if unable to trade leveraged/inverse funds.
Fidelity already shows comprehensive warnings about trading
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
Please trust people to make informed decisions for themselves.
