AWS makes it easy to set up a REST service with authentication using Lambda, the AWS API Gateway, and IAM. Using these technologies through AWS doesn’t require hosting cost for the Lambda and API Gateway service and you pay per Lambda call. You also benefit from Lambda auto-scaling depending on the request volume and concurrency.
Continuing Education Planning
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, October 21, 1996. The information relating to matters contained in this Notice is current as of the end of September. Information received subsequent to the end of September is not reflected in this edition.
Firms Expelled, Individuals Sanctioned
Beacon Securities, Inc. (New York, New York), Gary L.
INFORMATIONAL
Anti-Money Laundering CompliancePrograms
Effective date: December 31, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
NASD has adopted amendments to NASD Rule 3011 (Anti-Money Laundering Compliance Program) to require each member to provide to
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 (
The Neutral Corner—Volume 4, 2020
Mission Statement
Year End Message
Court Upholds Panel’s Authority to Order a Virtual Arbitration Hearing (by Brianna Akerley, Case Administrator, FINRA Dispute Resolution Services, Midwest Region)
Virtual Arbitration: Best Practices for COVID Times and Beyond (by Dan Zailskas, Case Administrator, FINRA Dispute Resolution Services, Southeast Region)
FINRA
Continuing Education Planning
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
To whom it may concern:
People nowadays have internet resources that are comparable to those of the Wall Street investors. I, for example, uses excel to calculate risk and rewards based on data collected from various brokerages/yahoo finance/bloomberg/LPLfinance...etc. A test imposed by regulators may have nothing to do with my excel calculations and probably remotely relevant to the success of
Comments: I am an investor, an advisor, a father, a son, husband and business owner. I have used these leveraged products in small amounts and I feel there is a lot of warnings, disclaimers, etc on these already. If anything maybe make the warning bigger or more bold but don't limit the access of these. That would in my mind do the following 1-increase risk because it would limit volume and
