I find the proposed FINRA's potential regulations notice 22-08 as it will put undo restrictions on my ability to invest as an individual. The current proposed requirement for a test is not fully defined nor is the process in which it will be administered defined. Who will prepare the study material, who will administer the test, and how long is the certification valid after you pass the
It is not acceptable to block investment opportunities from the everyday investor. Placing a literacy test into the mix will not ensure fiscal responsibility, and it could block investors with test anxiety, dyslexia, or other testing issues. Blocking users without a high net worth further disenfranchises those trying to earn wealth and will increase the wealth gap. Im appalled by the outright
Impact: All Firms
Update (June 22, 2023): The link to the Advisory issued by CISA on June 7, 2023 has been updated to reflect CISA’s current guidance.
Firms should review this information with any vendors who provide information technology services to the firm.
As a result of an increased threat of ransomware potentially impacting FINRA member firms, the Cyber and Analytics Unit (CAU) within
How about we offer this test to students in Highschool as a term test. Public really should have the same access as you.
Guys, stop with the whole, "YOU DON'T KNOW WHAT YOU'RE DOING! WE HAVE TO PROTECT YOU FROM YOURSELF!" .. It's outdated and clear that you just want more control over who can invest, when they can invest, and how many people can actually become financially stable in the future, far and near. Again, it's all about control, you want the control
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Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading and Market Making
Decimalization
Executive Summary
New Member Applications
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
New Member Applications
Rule 1013
Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Summary
FINRA has adopted new Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems),1 which implements additional requirements for firms that operate systems that regularly disseminate the quotations of identified broker-dealers in OTC Equity Securities (each an “inter-dealer quotation system” or “IDQS”).2 Rule 6439 will become effective on October 1, 2021, except for paragraph (d)(
