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ACTION REQUESTED BY OCTOBER 29, 1999
Comment Period Expires October 29, 1999
Salesperson Compensation Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Funds
Registered Representatives
Senior Management
Associated Persons of Members
Compensation
Investment Company Securities
The Suggested Routing function is meant to aid the reader of this document. Each
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.
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces, and for allowing us to submit this statement for the record.
(a) A member shall submit the trade data specified below in automated format as may be prescribed by FINRA from time to time. This information shall be supplied with respect to any transaction or transactions that are the subject of a request for information made by FINRA.
(b) If the transaction was a proprietary transaction effected or caused to be effected by the member for any account in
Many individuals contact the Office of the Ombuds about fraudulent schemes. Some of the schemes are imposter scams that involve people fraudulently pretending to be FINRA staff in order to obtain account or other sensitive information.
We need more transparency in the stock market. The market’s volatility doesnt match with the data we have at the end of the day we get information later than others and that is not true capitalism.
Please require weekly reporting. Please provide the reports to the public for free and transparent information through FINRA website and not just exchanges. Please conduct audits and other proactive enforcement measures.
You have made this notice complex. I only agree with giving the investor more information 2c. If you want to regulate something make Companies that issue a K-1 to shareholders be required to use a stock symbol ending in K.
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
