Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
We find it outrageous to mess with a system that works, only for government benefit. Everyone should have the choice of investing in which public equities or bonds they chose. Please oppose any interference or change to our present system.
Good afternoon, Chairman Reed, Ranking Member Allard and distinguished Members of the Subcommittee. NASD is grateful for the invitation to testify regarding the regulatory consolidation of NASD and NYSE Member Regulation.
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Filing by Applicant or Service by FINRA
(1) An Applicant for membership shall file an application in the manner prescribed in Rule 1013, including the timely submission of an application fee pursuant to Schedule A to the FINRA By-Laws.
(2) An
The Crypto Asset Developments topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
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Senior Management
Corporate Finance
Institutional
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As of February 23, 1995, the following 41 issues joined the Nasdaq National Market, bringing the total number of issues to 3,742:
Symbol
Company
Entry Date
SOES Execution Level
ATVI
Activision, Inc.
1/27/95
200
DZTK
Daisytek International
I strongly disagree with this regulation. It is rediculous that an investor has to pass a test before he/she can invests. Freedom of investment is part of our freedom / human rights and please respect it.
Hello Regulators,
Please do not restrict my right to invest in public options as I choose. There should not be any special processes or tests required.
Thank you for your consideration...,
Please do not limit my access to these funds. I perfectly well know what I am doing and do not need the additional administrative burden of complying with whatever "tests" are created.
