Displaying 1781 - 1790 of 8419 Results
Geoffrey Schoonmaker Comment On Regulatory Notice 22-08
I am an adult, and can accept the responsibilities of my investing decisions. I don't need a regulator to tell me how to invest my personal finances. The lottery is perfectly legal and ran by governments as a tax on the poor. Leveraged and inverse funds are an important part of my investment strategy. They don't take a degree in rocket science to understand. As with investing in
SEA Rule 15c3-3a Exhibit A and Related Interpretations
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Notice To Members 90-25
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of March 15, 1990, the following 20 issues joined NASDAQ/NMS, bringing the total number of issues to 2,667: Symbol Company Entry date SOES Execution Level
Regulatory Notice 17-34
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
Market Access Controls
The Market Access Controls section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Election Notice 10/16/13
Notice of FINRA District Committee Elections and Ballots
Annuities Securities Products
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Gabriel Skipper Comment On Regulatory Notice 22-08
To FINRA: I'm a former member of FINRA, previous holder of multiple securities licenses (for over 20 years) and former registered rep and principle. I'm writing to comment and provide feedback on the proposed limitations in this regulatory notice. I strongly oppose limitations on my (and other retail investors) ability to utilize both leveraged and inverse ETFs to achieve my
4521. Notifications, Questionnaires and Reports
(a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period as may be prescribed, such financial and operational information regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest. (b) Every
Interpretive Letter to George T. Simon, Foley & Lardner, LLP
NASD Rule 2510 - Discretionary Accounts - A member may use the negative response process under Rule 2510(d)(2)(A) to effectuate the transfer to another money market fund of customer free credit balances that have been returned to the member by a fund that has been terminated.