Unless otherwise indicated, suspensions will begin with the opening of business on Monday, July 15, 1996. The information relating to matters contained in this section is current as of July 5, 1996. Information received subsequent to July 5, 1996, is not reflected in this section.
Firms Fined, Individuals Sanctioned
George E. Dullnig and Co. (San Antonio, Texas) and George R. Dullnig (
Free Market??????????????????? Why wouldn't you bet an inverse fund when you see a bubble. Why do I need to take a test to see a bubble through zero interest rates for 4 years?
Comments: Dear Finra ,
I am a 90 year old (young) combat veteran of the Korean War , the stock market wars of the 1960's and '70's' and , for the better part of my working career , NYC taxi-owner driver .
Each situation requires an investment of a sort . My point in this limited space , is , if people don't do "due diligence"
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
The data is grouped into "Total," "ATS” (Alternative Trading System), ”Interdealer" and "Dealer-to-Customer" categories.
The data is published
To Whom It May Concern,
The regulations proposed interfere with my right to invest. I oppose restrictions on your right to invest in public investments.
There should be no special process, test, or financial status associated with public investments.
Dues Must Be Paid By December 15, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1995–96 NASD® broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that includes fees for NASD personnel assessments,
