FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
I am able to decide for myself and my family which investments are right for us. I neither want nor need a regulatory body making rules and restrictions on this. The proposed FINRA Rule #22-08 is merely a wealth- (& power-) -hoarding tactic of those who already have it. Its out of touch and wrong. The Rule must be rejected.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Summary
FINRA has amended its suitability rule, Capital Acquisition Broker (CAB) suitability rule and rules governing non-cash compensation to provide clarity on which standard applies and to address potential inconsistencies with the Securities and Exchange Commission’s (SEC’s) Regulation Best Interest (Reg BI).1 These changes have been approved by the SEC and become effective on June 30, 2020
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Healthcare of Ontario Pension Plan Trust Fund.
This rule brings transparency to OTC markets and I support this rule.
I understand that the FINRA is proposing a rule that would affect how I invest in securities. I opposed to any rules that would limit what I invest in. It's none of their business. Today we are experiencing increasing interventions of regulators in our daily lives and I'm extremely opposed to any interventions or rules about how I live my daily life!
