i agree with the statements that their should not be any regulators taking control and forcing me to take tests. please dont take my rights away
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
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(a) Notices Under Rule 4111
(1) Notice of Requirements or Restrictions
FINRA's Department of Member Regulation ("Department") shall issue a notice of its determination under Rule 4111 that a firm is a Restricted Firm and the requirements, conditions or restrictions to which the Restricted Firm is subject (hereinafter, collectively referred to as the "Rule
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The SEC recently approved an amendment to Section 2 of Schedule G of the NASD By-Laws (SEC Release Number 34-23780). The amendment, which is effective immediately, requires NASD members to report transactions in listed securities executed in the over-the-counter market in the United States between 4:00 p.m. and 4:30 p.m.
International Testing Delivery; Important Information About Advertising Filing Fees
The lack of transparency with short interest is triggering a crisis of confidence in the US markets. The uncertainty regarding systemic risk is creating a systemic risk in and of itself. The crisis is just beginning.
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
I should be able to choose my own investments and not have to go through special testing processes for investing in public securities, including and not limited to Cryptocurrency
While requiring disclosure of additional information regarding complex financial products seems good in principle, it seems quite possible that this will be yet another textual agreement that almost nobody reads and most people click through. Figuring out who needs the information provided and how to present it in a way that they will understand it seems important.
However, requiring testing to
