SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of February 21, 1997, the following bonds were added to the Fixed Income
The money I invest is my money, not the government. The investment is small and is in a separate asset class from stocks, bonds, ETF's etc. This thinly disguised attempt to take over the banking system, making everything requiring permission, will not be obeyed.
Our country should lead in innovation and capitalism. This space should be our pinnacle of achievement. Don't let the legacy banks and systems kill our future. Regulate deftly and with an easy touch. Let us lead again!
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.
I am strictly against limitations of trading leveraged or inverse tools. It is a usefull way how to enhance profit or hedging a portfolio. I just want to keep the system running freely as it is currently now. Thank you Ivan Cenov
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Mutual Funds Transactions
Breakpoints
Executive Summary
Mutual funds that are sold with front-end sales loads often offer investors the opportunity to pay reduced sales loads under a variety
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 19, 1987, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,893. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: August 9, 1986.
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment to Section 2 of Schedule G of the NASD By-Laws. The proposed amendment would require NASD members to report transactions in listed securities executed between 4 p.m. and 4:30 p.m. Eastern Time to the
No individual or entity should be able to create naked shares to the tune of 200% of the float. Also THE T-35 for fail to deliver Needs to be reduced. To 2 days. Like all trades do. FIX THE RIGGED SYSTEM.
