I oppose having these types of funds being removed/further regulated. Each investor should be able to make their own informed decisions.
Limit insider trader of the members of the US CONGRESS,
So they are not competing against my trade without any insider information.
Regulators should limit their activities to preventing fraud and informing the public. Otherwise let people take responsibility for their own decision-making.
As a retail investor I believe the public has the right to make informed choices to invest in leveraged funds and not to have this ability restricted.
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
During the past year, the Association has taken an active role in attempting to assist members in their obligation to comply with the complex requirements imposed by both the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") and the Interest and Dividend Tax
No naked shorts. More frequently posted information on short sales
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles.
Summary
FINRA has received an increasing number of reports regarding customer account takeover (ATO) incidents, which involve bad actors using compromised customer information, such as login credentials (i.e., username and password), to gain unauthorized entry to customers’ online brokerage accounts.
To help firms prevent, detect and respond to such attacks, FINRA recently organized roundtable
SUGGESTED ROUTING*
Legal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Central Registration Depository (CRD) was expanded in 1989 to enable firms to file one Form BD for both NASD membership and state licensing requirements. In the operation of this CRD system, it has become evident that states and
