TO: All NASD Members
ATTN: Compliance and Registration Personnel
Effective July 1, 1985, the revised Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and Form U-5 (Uniform Termination Notice for Securities Industry Registration) will be used to register and terminate individuals with the NASD through the Central Registration Depository (CRD). The revised forms are
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
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.
Divorce can impact all aspects of your life, including your financial responsibilities and goals. But there are ways that can help you better understand—and stay in control of—your investments.
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
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
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
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
