The "big guys" have enough power and tools already to influence the actions of the stock market and I believe in many cases individual stocks. It's important that individual investors have the ability to invest, or trade, leveraged investments and inverse funds to achieve their portfolio objectives. These vehicles allow specific sector investing, regardless of the
I'm dedicated to my developments. To pursue where my happiness lies at. Trying to stop opportunity for longevity and options to pursue something that means more to me and others than you can imagine is incomprehensible to think of. Thinking of stopping growth of someone or the collective that have invested their selfs in something they love isn't something that should be done
Usually when an action like this happens, the powers that be ARE NOT thinking about the average investor, they are thinking how can we keep the major benefits of investing to the "Ultra Rich" and thereby avoid any "Gamestop" activity and exactly time the market for their own wealth. Do I think it is important for any security to have full disclosure? The answer is yes. But
FINRA Rule 1017 requires member firms file a Continuing Membership Application (CMA) with FINRA's Membership Application Program (MAP) Group prior to implementing any material changes to the firm.
FINRA member firms should be aware of an ongoing phishing campaign involving threat actors targeting executive employees at broker-dealers and investment advisors with fraudulent emails purporting to be from FINRA executives. The campaign began on or around May 21, 2025. These emails are not from FINRA, and firms should delete them and consider blocking the indicators of compromise contained at the end of this alert.
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
(a) Notice to Member or Person of Suspension, Cancellation, Bar, or Limitation or Prohibition on Access to Services
(1) If a member or an associated person does not meet the eligibility or qualification standards set forth in the FINRA By-Laws or rules, FINRA staff may provide written notice to such member or person stating that the failure to become eligible or qualified will result in a
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Schedule C of the NASD By-Laws
SUGGESTED ROUTING*
Senior ManagementLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
At its July 1988 meeting, the NASD Board of Governors voted to amend the Code of Procedure so as to reduce, from three to two persons, the minimum number of persons required for hearing panels for cases before District Business
Comment Period Expires: July 31, 1998
SUGGESTED ROUTING
Legal & Compliance
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on a series of National Association of Securities Dealers, Inc. (NASD®) rules that would authorize NASD Regulation Department of Enforcement staff,
