NASDR has filed with the SEC a proposed rule change to clarify the cover pages of Forms U-4 and U-5.
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
This REEKS of corruption by the FINRA!!! There is no one out there that FULLY understands every aspect of the stock market, Doctorates (multiple) or none. The market is simple principals that work either on an ETF or common stock. There is not a single stock that is 100% guaranteed to make a profit, some are much more riskier than others. The FINRA should not be Wall Street’s thug enforcer, but
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to Conduct Rule 2710. The proposal will provide greater clarity and predictability regarding when securities acquired by members and their affiliates in private placements will be deemed to be underwriting compensation. While securities acquired by an underwriter within 180 days
Comment Period Expires September 30, 1999
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Rules “enhancements” means more rules. My broker make it very clear this was a very high risk investment. I was required to sign approximately 4 different documents that I had never had to sign before in 35 years of investing. I know exactly what I own and don’t need extra protections.
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Compliance Date: June 6, 2005
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Executive Summary
The Securities and Exchange Commission (SEC) has
