This rule is disrespectful and elitist. There are unlimited resources online, many free, that can educate people about all investment products. Rules designed to "protect" investors simply enrich and entrench the wealthy. There will always be "gamblers" who invest unwisely, but the extreme overreaction of this proposed rule is not the answer. All investment
GUIDANCE
Corporate Debt Securities
Effective Date: June 17, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
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 Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
This proposed rule would deal yet another blow to the free market. Everyday Americans should be able to buy and sell securities as they please. Regulations like day trade restrictions, the banning of the creation of 3X leveraged ETF funds, and now this proposed rule continually erode away free market principles at the expense of the average American. Institutional investors have access to low
GUIDANCE
Mediators as Arbitrators
Effective Date: May 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code)
<p>Priced quotations by an ECN or ATS displayed on the OTC Bulletin Board are considered priced quotations for purposes of compliance with Rule 2320(g)(1).</p>
NASD Will No Longer Impose Censures For Some Violations
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
