This request for exemptive relief is granted based on the Firm's representation that the individual did not engage in the solicitation of municipal securities business, as defined by MSRB Rule G-37, the imposition by the Firm of extensive Firm-wide information barriers on certain municipal securities business communications, prohibition of, for a specified period of time, the individual's solicitation of new municipal securities business, a Firm commitment to conduct training or re-training for all Firm MFPs and new hire MFPs, including an on-going annual educational effort, a review of existing Firm procedures and the development of necessary enhancements.
Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
I am a small investor who would like to continue to choose my own investments, including the ones that this FINRA rule would restrict as too "complex". I've spent considerable time educating myself on investment theory and the value of a diversified portfolio, and I use a mix of "complex" and conservative investments to match my goals and risk
Proposed Rule Change Relating to Fee for the Operations Professional Examination
Just stop with the nanny state already. Enforce the rules you already have and obtain convictions for the fraud and malevolence which are everywhere in our financial markets. If you cannot prevent the looting at the ARK funds, or the huge batch of highly questionable IPO's from 1H 2022, what business do you have regulating leveraged instruments. There was huge risk to investing in
I do not support this rule in the slightest. You cannot fail to define “complex products” and then make such products difficult for investors to access. What if next year, ETFs are considered “complex”? Further, this hurts normal people like me by making it difficult to access investments that have performed well for me (and which I easily understand how they will perform under any market
This request for exemptive relief is granted based on the Firms’ representation that the Contribution was made by an employee who does not and has never engaged in the solicitation of municipal securities business, the imposition of certain “information restrictions” and other Firm-wide compliance measures, a Firm- imposed “censure” and compensation restrictions, and the return of the Contribution.
ACTION REQUESTED BY OCTOBER 29, 1999
Comment Period Expires October 29, 1999
Salesperson Compensation Practices
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The Suggested Routing function is meant to aid the reader of this document. Each
FINRA Provides Guidance on New Rules Governing Communications With the Public
Comment Period Expires September 13, 1999
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