It's my business what I invest in. It's up to me to make that choice, for whatever reason I want. It's none of your business what I invest in or what I do w/my money. I shouldn't have to go through a special process like passing a test or reading anything. If you want to apply those rules, why not apply it to yourself. Let's make it that you can't vote on a bill you
To FINRA Regulators:
The proposed regulations in #22-08 are a threat to investors everywhere. One reason the USA is a great place to live, work, and invest, is financial freedom. Few places in the world offer the upward mobility available here in the USA. One reason for our economic growth is the ability of investors of all financial levels to invest as they see fit.
I am a smaller investor. I
Dont want government telling me who & what to invest in this is called government over reach !! Stop this bull we will vote all democratics out of office !!
Sales Practice Obligations for Commodity Futures-Linked Securities
The 2021 Compliance Outreach Program for Municipal Advisors is a free webcast program designed to provide municipal advisors and other municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters. Topics of discussion include managing conflicts of interest disclosures; operational considerations for registered municipal advisors;
For Your Information
National Association of Securities Dealers, Inc.
June 1989
Test Date and Site Changes for June and July Examinations Announced
July First Saturday Date Change
The first Saturday exam session date for July has been changed to July 8, 1989, for all test centers because of the Independence Day holiday that falls after the first weekend of the month.
Requests for
FINRA Revises the Series 24 and 23 Examination Programs
TO: All NASD Members and Other Interested Persons
On June 2, 1983, the Securities and Exchange Commission ("SEC") approved amendments to Schedule E to Article IV, Section 2 of the Association's By-Laws ("Schedule E") which relates to the distribution of members' own securities and those of affiliates. The amendments became effective upon approval and are applicable
Sec. 4. In the case of the first annual meeting of members following the Closing, nominations shall be by the Board of Directors of NYSE Group, Inc. with respect to Large Firm Governors, jointly by the Board of Directors of NYSE Group, Inc. and the Board in office prior to the Closing with respect to the Mid-Size Firm Governor and by the Board in office prior to the Closing with
Sec. 1. The address of the registered office of the Corporation in the State of Delaware and the name of the registered agent at such address shall be: The Corporation Trust Company, 1209 Orange Street, Wilmington, Delaware 19801. The Corporation also may have offices at such other places both within and without the State of Delaware as the Board may from time to time designate or the
