You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
"However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks." Like the complex derivatives that the large financial institutions created leading up to the Global Financial Crisis and collapse of the housing bubble? Until you remove the ability of institutional investors to be excessively leveraged with
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You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
Sec. 3.1 Any action required or permitted by law to be taken at any meeting of the stockholder of FINRA Regulation may be taken without a meeting, without prior notice and without a vote, if a consent in writing, setting forth the action so taken, is signed by the holder of the outstanding stock.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff
(a) Designation of Ex-DateAll transactions in securities, except "cash" transactions, shall be "ex-dividend," "ex-rights" or "ex-warrants": (1) on the day specifically designated by the Committee after definitive information concerning the declaration and payment of a dividend or the issuance of rights or warrants has been received at the office of the
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 28, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment that would provide limited exemptions for certain persons purchasing securities in connection with the conversion to stock ownership of mutual savings and loan associations, savings banks and certain
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
I feel like the integrity of the stock market is being lost on a generation because of these constant market collapses and violations with zero accountability. It looks like obvious market manipulation if a company is allowed control how trades flow. They are able to reset timers on FTDs and trade +50% of the volume in a market I have zero visibility into. 1. FTDs need to be enforced without any
Dear FINRA:
I strongly oppose restrictions on my right to invest in public investments due to the following stated reasons:
1)I have over two decades of experience in investments in various types of stocks and bonds. I went through multiple bull and bear markets, and have obtained great gains. I am highly confident with my knowledge and skills in such investments.
2)I obtained higher returns by
