Step-by-step instructions on accessing and updating FCS information and access to frequently asked questions.
GUIDANCE
Trading Volume and Interest
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Communications with the Public
Manipulative and Deceptive
Quotations
Publication of Transactions and
Quotations
Rule 2120
Rule 2210
Rule 3310
Trading Interest
Trading Volume
Use of
If you’re new to investing, you might wonder where to begin. Between setting up an investment account and making your first transactions, the choices can feel overwhelming. Here are some tips to get you started.
Public investments should be available to all of the public, regardless of net worth. If attesting to having read information about an investment is deemed an appropriate balance, I would be supportive of that.
Please to not restrict the public's ability to invest in a broad array of securities. It is more important that information and risk be disclose than for an individual to be required to pass a "test" in order to invest.
I would be opposed to banning any products. Information is readily available for anyone who seeks it. People have to take responsibility for their own decisions. You can't regulate it.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent
I'm not understanding this notice clearly. But I do right kind of investment as available on US stock exchanges. Please do not confuse me with such restricted information and I oppose such regulations.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested
