The following list of factors should be considered in conjunction with the imposition of sanctions with respect to all violations. Individual guidelines may list additional violation-specific factors.
Although many of the general and violation-specific considerations, when they apply in the case at hand, have the potential to be either aggravating or mitigating, some considerations have
What is the point of a regulatory authority if not to enforce rules and protect the consumer? Rules are made for the betterment of society, not as a way to placate the masses of thinly veiled corruption. The best time for action was before 2008. The second best time is right now. Enough is enough.
The American public is capable of making their own decisions, carefully researching their choices, and taking appropriate action. As such, Americans do not need their financial to be controlled by regulators. Limiting the right of citizens to determine their financial future is elitist and an infringement on the liberty and freedoms upon which our nation has built its reputation.
TO: All NASD Members and Interested Persons
Attention: Compliance and Registration Personnel
This notice is intended to remind members of the importance of compliance with state registration requirements. A number of state securities administrators have been vigorously enforcing state registration requirements with respect to broker-dealer registration, individual salesmen registration, and the
While you might feel it is in the best interest to block several of these investments. I do disagree with banning. If there are smaller hurdles fine but most people need to take responsibility for his/her investment actions. Truthfully, you missed the boat with a company like Robinhood which essentially turned investing into a casino. Mark
This proposed action is totally unacceptable in a free country. Instituting this policy will demonstrate that this government agency, and therefore this administration, believes in totalitarianism in its truest form. Is this really what you want to do and be remembered for, bringing this beloved country closer to fascism??
Let me spell this out for you:
- In a FREE country, I should be able
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
The Securities and Exchange Commission (SEC) recently approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 1120 relating to Continuing Education requirements ( see SEC Release No. 34-39712, dated March 3, 1998, and
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
Any decision issued under Rule 9750 or Rule 9760, as applicable, shall constitute final FINRA action. A person aggrieved by any final FINRA action issued pursuant to Rule 9750 or Rule 9760 may make application for review to the SEC in accordance with the Exchange Act.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 9790 and amended by SR-NASD-2007-052 eff. Aug.
