SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high
Public Investments should be between the investor and the financial firm associated. The risks associated with investing are well known and explained by financial firms. Personal investments and retirement plans are controlled by the investor and investment retirement planners and critical to the investment success and well being of all. Based on Historical experience, especially lately,
I am asking that you do not take away the right to invest in leveraged and inverse funds. I am 80 yrs old, understand very well how the funds work as I have used them for many years, both losing and gaining just like any other stocks and funds. They have always been explained very well without needing further involvement with restrictions and education.
A registered representative presently licensed with a member providing telemarketing services, under certain conditions, would not be required to also be registered with a client member.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).
I do not trust government officials to be making these restrictions/regulations on us. It does not pass the smell test, it may well be proposed for nefarious political purposes.
Another suspicious circumstance is that the Mail informing o of this development arrived this afternoon, 5/9/22, and saying the deadline was today, 5/9/22. Hmmm, I wonder what that might be about? It is right now 7:
Hi,
I want to voice my opinion that I oppose any restrictions on my right to invest in a way that I deem appropriate for me. I don't need the government telling me what I can't and cannot invest in. It is my right to invest my hard-earned dollars in any way I choose; in many cases that is leveraged funds.
They have worked well for me in the past and I fully expect them to work
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
FINRA announced today that it has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment is effective July 22, while Glynn’s appointment is effective in September. Both will report to Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA.
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
