FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text
1) When I first joined my firm, I emphasized a BCP that answered the question, “What happens if we lose use of our primary office for an extended period of time?” With that in mind, I encouraged our office staff—particularly our IT function—to think in terms of carrying on a regular workday from an alternative location. IT spent several years gradually building up our remote working capability.
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
August 7, 2006
NASD is publishing this article to provide additional guidance to members regarding use of the Routing Method Code of "S" (Smart Router) on Route and Combined Order/Route Reports.1
For purposes of OATS reporting, NASD defines a Smart Router as a system that, based on predetermined logic applied to variable market conditions, determines without human intervention, the
I do not want restrictions placed on securities like testing requirements. I use leveraged securities and understand and accept the risk. Please do not impose restrictions on my investments. Thank you.
It is unfair if institutional can easily get leverage. Regulators can ask special test for the individuals. Dont kill a free options for individuals in the name of their own benefits. That is not American way.
No restrictions on my right to invest. I shouldn't have to go through any special process like passing a test before I can invest in public securities, leveraged and inverse funds.
It is the right of every citizen to be able to choose their own investments. It is insulting to have to get approval, tested to make an investment.The last thing needed is more goverment control in our lives.
