Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or disqualified
Government should have no role in regulating investment strategies a citizen uses to manage his/her financial wellbeing. Tax regulations are already doing this. Free and open trading environment are essential in creating a fair environment. I am just an average citizen that manage my own IRA and have been trading for over 25 years. The proposed regulation hand cuffs me from effectively manage my
Dear FINRA, This attempted infantilization of the American public is a disgrace. The American dream is one of freedom. Freedom to make informed financial decisions to provide the best possible life for myself and my family. All of human knowledge is available for free online and yet somehow derivative instruments are so complex as to need regulation by the government? So only the elite can
Limiting the accessibility of complex financial products to retail investors under the guise of protecting them is disingenuous. Nobody cares more about my money than me and before I throw my capital at something I make sure to understand it. I assume most serious investors are equally rational. This attempt to restrict retail investors appears to be an attempt to protect institutional investors
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Executive Summary
In May 1993, the NASD published Notice to Members 93-30, which set forth, in question and answer format, certain guidelines for compliance with recent amendments to the Securities and Exchange Commission (SEC) Net Capital Rule, Rule 15c3-1. The SEC adopted the amendments,
Date: April 24, 2025Ms. Jennifer Piorko MitchellOffice of the Corporate Secretary FINRA 1735 K Street Washington, DC 20006Re: Request for Comment on Regulatory Notice 25-05 Dear Ms. Mitchell, I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment the newly proposed Rule 3290 as
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
All investments carry some degree of risk. Stocks, bonds and funds can lose value. Even conservative, insured investments such as certificates of deposit issued by a bank or credit union, come with inflation risk. They may not earn enough over time to keep pace with the increasing cost of living.
Comment Period Expires: August 28, 1995
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Legal & Compliance
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The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
