I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
The proposed regulations would unnecessarily infringe on my freedoms to contract privately on financial matters based on my own discretion. Leveraged and inverse funds are an important component of my trading strategies, and I should not have to disclose or satisfy any particular financial means or investment knowledge tests to enter into financial transactions in these products.
Closing Of Washington District Office
A decision was made in June of last year to close the Washington, D.C. NASD RegulationSM District Office. That District Office officially closed its doors on January 31, 1998.
This notification is to advise readers that the functions of the former D.C. District Office have been divided between the Philadelphia and Atlanta NASD Regulation District Offices.
Industry Governor (Small Firm Representative)Chief Operations/Compliance Officer, Herold & Lantern Investments, Inc.Governor Since 2020Committees: Finance, Operations & Technology Committee, Nominating & Governance CommitteeProfessional ExperienceChief Operations/Compliance Officer, Herold & Lantern Investments (1993 – present)FINRA Small Firm Advisory Committee (
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
I manage my retirement financial assets based upon my financial needs and NOT FINANCIAL DESIRES. I am a retired CPA with plenty of experience in the assets I invest in. I understand risk, how it is measured and how to manage it. I do not need government permission to do what I know how to do. So please leave me alone, I can take care of myself.
The Neutral Corner – Volume 4—2023
It's about time that so mething was done to reign in the financial product world. Many retail investors are purchasing financial products and derivatives with no idea of the risk they are taking. Now companies profiting off of crypto coins want investors to place retirement funds in crypto currency which is completely unregulated. No unregulated financial product should be permitted as
