You have the benefit of the equivalent of insider trading information. Why should the public be restricted even more?
Leverage has worked for me. Please stop taking good opportunities away from an informed investor
Please let investor select their own choice. Let investor know the product information and the included risks
Please let investor select their own choice. Let investor know the product information and the included risks
proposals are punitive to the investor .If there is no fraud what is the use of the restrictions .Information about the risk is all what is needed .
WHY IS IT OK FOR YOU TO GET INSIDER TRADING INFORMATION? NOT OK FOR US TO CHOSE OUR OWN INVESTMENTS?
I am against the vote as an informed investor it is my choice knowing the risks associated with these products, if I want o invest or not.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
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Training
Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury securities reported to TRACE for the prior week. The reports have been published since March 2020. On January 3, 2023, FINRA will enhance the reports as follows:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on January 4, 2023 for the week
