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,
SR-FINRA-2009-015 - Proposed Rule Change to Adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to Establish Procedures to Expedite the Administration of Promissory Note Cases
Notice of FINRA District Committee Elections and Ballots
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend certain provisions of Rule 2821.
To whom it may concern:
As both a financial advisor and individual investor, I am concerned that rules proposed by FINRA will limit my access to financial tools that are important to my portfolio and investing strategies. This includes leveraged and inverse funds that I use to increase my exposure and potential for gains without risking additional capital. These products are important tools that
Again, regulators who do not know me AT ALL want to make serious, critical decisions about my financial needs/wants. WHY??? Please, let me decide what investments are right for me and make sure, continue to keep ALL public leveraged and inverse funds/investments available for everyone. Isn't is a good thing I want to be a secure, self-supporting, productive citizen of society? It benefits me
Dear Sirs, As a US citizen, I believe I have the right to choose my own investment for myself and my own family using any public investment vessels. This right should come with no further official regulation to decide if I am qualified in knowledge or risk taking since it's my own decision based on my own due diligence. In the past 20 years, Fed kept relaxing credits in order to save
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
Comment Period Expires: November 30, 1998
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FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
