Summary
FINRA will conduct its Annual Meeting of firms on Friday, August 7, 2020, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1
It is important that all eligible firms be represented by proxy or in
I strongly oppose the proposed legislation to limit individuals from investing in so called complex securities. I have the right to choose how I spend my time and money and I disagree with efforts to ban me from products I have already purchased after significant research and time. I buy leveraged funds as a way to mitigate my overall risk while pursuing higher returns. Leveraged funds allow me
I am the portfolio manager for a $280 million dollar RIA. But I am also an individual investor who is growing increasingly concerned about the regulatory creep which aims to impose additional restrictions on retail investors. There has been a long history of gatekeeping investments in the US, where only the very wealthy have had access to the full range of investment options. I have been pleased
Dear Sirs, I have read your proposed regulations related to "complex" investments, and I would like to voice my opinion. I am somewhat surprised that regulators are focused on the investors themselves rather than on the fundamental function of regulating the markets through conditions imposed on funds and traded securities. I would definitely approve and happily participate in any
Summary
The Securities and Exchange Commission (SEC) has approved a proposed rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (FAIR Act).1 The rule change creates a filing exclusion under Rule 2210 for investment fund research reports that
As of March 22, 1996, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,051:
Symbol
Company
Entry Date
SOES Execution Level
CMCO
Columbus McKinnon Corp.
2/23/96
200
CYAN
Comment Period Expires: April 30, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD® Rule 3121 that would govern a member's use and release of customer
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
May 9, 2001
Mr. John W. Marcus
Chairman
PIBC Securities LLC
640 Fifth Avenue
New York, NY 10019
Re: Exemption Request from Fidelity Bonding Requirements
Dear Mr. Marcus:
I am responding to your letter of November 21, 2000, in which you request that PIBC Securities LLC ("PIBC") be exempt from the requirement to maintain a fidelity bond under NASD Rule 3020. Specifically, your
