IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
With over 50 years experience in the Stock, Bond, Private Equity and real estate businesses I am fully understanding of the risks and uses of inverse ETF's. Please do not restrict their use.
I am contacting you to express my opposition to the proposals in Regulatory Notice 22-08. I see no justification for FINRA to restrict public access to any publicly traded financial products, including leveraged EFTs. These securities provide an efficient and economic vehicle for small investors to hedge portfolio risk, a strategy that has now become critical in the aftermath of more than a
No one needs any measure of exam in order to invest. Any one can and should be able to choose public investments that are right for me and my family in any way shape or form. Public investment can and should always remain available to the public. No one should be excluded in any way shape or form. What is being done is trampling on the rights of the private citizen as a worker and as a provider.
Firms may adopt different cloud models, depending on their needs and preferences. Each model provides different features and implies different trade-offs. Models are generally categorized into the following:12
Public cloud: In this model, cloud services are made available virtually over the internet to users and are operated by a cloud service provider. The cloud provider hosts and operates
I can make my own decisions, thank you very much. I can limit my exposure by choosing not to purchase, purchase a small amount, or as much as I want. As a former banker, somewhat successful businessman, and a veteran, I believe I understand risk better than any government employee, who enjoys a risk less salary, risk less retirement, risk less employment, risk less tenure and benefits that exceed
Thursday, December 7All times are listed in Eastern Time.10:30 a.m. – 10:45 a.m.Opening Remarks10:45 a.m. – 11:30 a.m.Panel 1: Credit RatingsTopics:Rules of the RoadUnderstanding Bond Ratings: Methodologies, Consistency of Application, and Assurance of RatingsCase StudyTrends11:30 a.m. – 11:40 a.mBreak11:40 a.m. – 12:25 p.mPanel 2: Pricing Issues (New and Remarketing)Topics:Compliance
Private investors understand the risk. My question is why are you proposing this?. I dont see a public outcry of investors saying they were uninformed. Youre claiming a need to put out the smoke when there is no fire that started it.
FINRA Rule 2330 (Members’ Responsibilities Regarding Deferred Variable Annuities) establishes sales practice standards regarding recommended purchases and exchanges of deferred variable annuities, including requiring a reasonable belief that the customer has been informed of the various features of annuities (such as surrender charges, potential tax penalties, various fees and costs, and market risk); and, prior to recommending the purchase or exchange of a deferred variable annuity, requiring reasonable efforts to determine the customer’s age, annual income, investment experience, investment objectives, investment time horizon, existing assets and risk tolerance.
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
