It is imperative that investors have the autonomy to invest in the things we do choose. It should no be limited to a few privileged people, or the rich, or high net worth people. We live in a society that all are created equally and we should maintain this with investment strategies, opportunities and tools available to invest in.
I dont feel that we need to take a test to test our knowledge on a
I understand the Federal Government Regulatory bodies have the best interests in mind for this country's citizens as well as those investors beyond our borders as various regulations are imposed. However, in a free society it seems to me that we have the right to choose those public investments that we feel are right for ourselves as well as our families. It is frightening to
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
FINRA experienced an issue on December 23, 2024 with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of November 18, 2024 (NMS Tier 2 and OTCE). FINRA is working on resolving the issue and will provide an update once the issue is resolved.If you have any questions, please contact FINRA Business Services.
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
Why would my public investment choices need regulated? Public investments should be available to all the public, without qualification or privilege. A test to purchase a PUBLIC security? Really? That's ridiculous and sounds like government heavy handed tactics to favor the rich. I don't need to take a test to be able to make my own choices for public investments!!
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2024 or the first quarter of 2025. FINRA reminds members that all such filings they submit to FINRA must be made electronically
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
