The ability for the general public to invest in various types of financial instruments and vehicles should not be restricted, and doing so would be anti-American in spirit. Let us consider and example of why this the case: the internet has helped promote the democratization of information and provided an incredibly valuable resource for individuals to learn, communicate, share ideas, create art,
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
INFORMATIONAL
NASD and NYSE Joint Release on
Section 311 of the USA PATRIOT Act
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Anti-Money Laundering
Discussion
This Notice reminds member organizations that the Financial Crimes
Enforcement Network (FinCEN) has issued a final rule imposing a
special measure,1 which becomes effective August
SEC Approves Amendments to FINRA’s Code of Procedure
(a)(1) Unless otherwise permitted by FINRA, a member shall not enter into an agreement for the carrying, on an omnibus or fully disclosed basis, of any customer account in which securities transactions can be effected ("customer account" or "account"), unless such agreement is with a carrying firm that is a FINRA member. An introducing firm that acts as an intermediary for
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
87-1
January 6
Martin Luther King, Jr.'s Day: Trade Date-
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
I'd like the freedom to determine my own financial risk and investments. I've studied the financial market for more than 30 years via paid services, books, newsletters, etc. I watch my portfolio closely using paid advisor review my portfolio decision based upon my life situation and risk profile. I absolutely do NOT want to have a financial agent of the federal government
It is unacceptable that "regulators" should even have the notion much less consideration of restricting investment products and vehicles that impede the choices and success of everyday investor's financial future and protection against market volatility.
Leveraged and inverse ETF's play a critical role in proper portfolio risk management which serves the
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
