The guidance provided in this FAQ pertains to the reporting of over-the-counter (OTC) transactions in equity securities to a FINRA Facility (a Trade Reporting Facility (TRF), the Alternative Display Facility (ADF) or the OTC Reporting Facility (ORF)).
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
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 (
This is a statment that says I live in the US. Were we should have the right to purchase freely any stock, ETF, or any investments we choose with out regulation, passing a test or any other type of legislation that restricts our rights to choose an investment. This proposed legislation infringes our constitutional right to freedom and the pursuit of happiness. Do not take away our rights that we
I do not trust government officials to be making these restrictions/regulations on us. It does not pass the smell test, it may well be proposed for nefarious political purposes.
Another suspicious circumstance is that the Mail informing o of this development arrived this afternoon, 5/9/22, and saying the deadline was today, 5/9/22. Hmmm, I wonder what that might be about? It is right now 7:
Hi,
Investors should be able to choose the public
investments that fits my investment goal. I understand the risks and responsible for the consequences.
Public investments should be available to all of the public,
not having to pass a test. Its my own money at risk and shouldnt be restricted on when I can make the trade. I have no influence on the bigger market like the CEO of
It is most imperative that action to restrict my right to invest be stopped now. I should have the right to choose the public investments for myself and my family. I should not have to pass a test nor get any kind of special approval. I am perfectly capable of understanding leveraged and inverse funds and their risks. It is important I continue to have the right to make my own decisions on how to
I oppose thr proposed rule. I want to be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Leveraged and inverse funds are
I not regulators should be able to choose the public
investments that are right for me. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their
I not regulators should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process
like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged
