I truly feel that this new regulation would severely damage any investor that is interested in securing his or her financial future.
Cryptocurrency is the one financial vehicle that is not only affordable to ANY investor regardless of the amount of wealth they may have but that can change an investors financial status overnight.
It is no more risky, than any stock an investor may buy or trade
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Senior Management
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Government Securities
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Municipal
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Variable Contracts
As of December 22, 1998, the following bonds were added to the Fixed
September 2005
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to its rules, to Schedule D to the NASD By-Laws, and to the NASD's Transaction Reporting Plan, which will have the effect of: (1) requiring NASDAQ/NMS companies to comply with certain standards of corporate governance; (2) moving NASDAQ/NMS designation criteria
TO: All NASD Members and Other Interested Persons
BACKGROUND
The Securities and Exchange Commission (SEC) has amended its customer protection rule (Rule 15c3-3) under the Securities Exchange Act of 1934, in connection with repurchase (repo) agreements with customers when the broker-dealer retains custody of any securities subject to these agreements.
The amendments become effective January 31,
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Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 13606 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to provide that the Director (“Director”) of FINRA Dispute Resolution Services (“DRS”) will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.
Retail investors are losing faith in the market. I urge you to take action to regularly disclose all short positions, whether genuine or synthetic (through married options, for example) on a weekly basis. This will allow individual investors to make more informed decisions about which companies they should invest their money in and will resolve the question of whether bad actors are using illegal
Dear FINRA: Firstly, I would like to thank you for giving the investor community an opportunity to be heard. For countless years, the investor community is deeply frustrated over the continuous manipulation of our financial system. I would like to address the following deep rooted issues regarding short selling within our financial system, and suggest possible solutions to mitigate risk in the
