SUGGESTED ROUTING
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of March 23, 1999, the following bonds were
To whom it may concern:
I am writing to express great concern that the FINRA policies under consideration will limit my access to leveraged and inverse funds.
These products are an important part of my investment strategy. With leveraged funds I have flexibility to invest without taking on debt, manage risks against rising or falling markets, and make personal investment decisions on hedging or
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1014 and 1017. The proposed amendments to Rule 1014 would clarify the current standards of membership admission by specifically identifying as a decisional criteria the existence of unpaid arbitration awards or other adjudicated customer awards, as well as pending arbitration claims, and expand the application of Rule 1014 to
I oppose the various impositions and restrictions on my ability to invest that are being proposed in Regulatory Notice #22-08.
(1) I am particularly concerned that the application of the term "complex" is not well-defined or specified in this notice and may grow to include anything that FINRA considers on its own volition as being too "complex" for whoever they
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
Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
As Senior Vice President, Enterprise & Financial Solutions, Carrie DiValerio is responsible for leading FINRA’s Enterprise Strategy function. In this role, she oversees the development of enterprise and department strategy through implementation of the objectives and key results framework and management of FINRA’s human capital and initiative resources. Since joining FINRA in
Financial regulation primary purpose is to both create a fair marketplace and create a public perception of a fair marketplace. To do this, financial regulation should work to eliminate uncertainty in the exchange process and work to eliminate volatility not due the fundamentals of the company who stock is being traded. While there are valid reasons for companies and individuals to short stocks,
