You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
I not regulators should be able to choose the public
investments that are right for me.
Public investments should be available to all of the public,
not just the privileged.
My Investment Advisor of many years experience has managed my investments to my satisfaction for over 15 years.
The very idea that an unknown, to me, group of so called regulators will over ride what
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces and NASD's financial education programs focused on military servicemembers and their families, and for allowing us to submit this statement for the record.
We launched FINRA360 in March 2017 with one overarching objective: to ensure that FINRA is operating as the most effective and efficient self-regulatory organization (SRO) we can be.
The time was right for us to begin such a review. In the 10 years since the NASD and NYSE Regulation merged to form FINRA, the industry and financial markets had changed significantly. And in traveling
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
TD Ameritrade has a golden standard disclosure that the investor is required to read and sign before buying and selling Leveraged ETFs. Requiring all brokers to do the same, essentially, solves any problems that may be faced with educating a retail investor that a 2x/3x ETF can gain or lose 2x/3x times what it is measuring. Therefore, the investor knows it's not suitable to hold for any
INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading And Market Making
Limit Order Protection
Market Making
Multiple MPIDs
Executive Summary
Recently The Nasdaq Stock Market, Inc. (NASDAQ) began permitting market makers and
When it comes to calling the shots at a public company, CEOs run businesses on a day-to-day basis, but the board of directors shares in oversight of the company business. A public company’s board of directors is chosen by shareholders, and its primary job is to look out for shareholders’ interests.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Congress has recently enacted legislation that expands the number of criminal or civil offenses that are considered statutory disqualifications under the securities laws. Any felony conviction, certain foreign
