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.
GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
The landscape of types of investment products is quite broad, and extends well beyond stocks, bonds and mutual funds, which are familiar to many investors. We’ll give you an overview of major investment categories—those that have been around for decades and some that are emerging.
In December of 2002, the Securities and Exchange Commission (SEC), New York Attorney General, the North American Securities Administrators Association (NASAA), the New York Stock Exchange (NYSE), and NASD reached an agreement in principle with ten of the nation's largest investment banks to resolve issues of conflicts of interest involving research analysis and initial public offerings (IPOs).
ACTION REQUIRED
SOES Order Sizes
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes
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.
Executive Summary
Effective October 1, 1999,
2019 Involvement and Election Process Overview
Public GovernorFormer CEO, CalSTRSGovernor Since 2018Committees: Compensation & Human Capital Committee, Conflicts Committee, Finance, Operations & Technology Committee, Investment Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceCEO, CalSTRS (2002 – 2021)Vice President, Great-West Life & Annuity Insurance Company (2000 – 2002)Colorado Public Employees
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
I understand the complex nature of these investment products. I like how the lower market price of these index price values compared to the S&P market value prices allow for smaller investors to capitalize on S&P 500 market value fluctuation values. We as smaller value investors need the ability to invest in larger markets without restriction.
If is extremely important for investors to decide what is safe and what is risky. You, the regulator, must ensure proper documentation is disclosed on the nature of investment indfrurmenf and no fraud is occurring.
Otherwise let capital markets operate freely for the "little" guys who aren't multi millionaires.
Leveraged and inverse funds areimportantto my investment
