(a) Supervisory SystemEach member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with the member. A member's supervisory system shall provide, at a minimum, for
Various state statutes provide for speedy trials in civil actions involving seniors or seriously ill parties. FINRA recognized a need for expedited hearings in arbitrations involving such parties in its dispute resolution forum.
If this leads to the exposure of naked short selling and actions that are as deceptive, great.
This rule limits our freedom to invest. My uncle died in action in WWII fighting for this freedom.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members, Associated Persons and Other Interested Persons
EXECUTIVE SUMMARY
NASD rules and policies consider associated persons of a member to be employees of the member, regardless of their locations or compensation arrangements. The notice addresses regulatory issues that relate to off-site employment of registered persons, including supervisory procedures, private securities
(a) Supervisory System
(1) Each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the Funding Portal Rules. A funding portal member's supervisory system shall provide, at a minimum, for
How has the activity with AMC not resulted in any action or change?
I oppose any action that will restrict or impede my right to invest in leveraged or inverse funds now or in the future.
Stop the over regulation. Allow investors to be responsible for their own actions. Bad investment decisions are self correcting.
