NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
I must begin by saying that to restrict the rights I have to do with my earned money as I see fit, under which the law allows, is inconceivable, immoral and wrong. There are only a few major needs that humans require for life and money is one of them. Financial security is another. To restrict me or any other retail investor, or uneducated person as the very idea of restricting my right to invest
INFORMATIONAL
NASD and NYSE Joint Release on
Section 311 of the USA PATRIOT Act
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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
Notice of FINRA Small Firm Advisory Board Election and Ballots
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Research Analysts and Research Reports
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Background
In December 2005, the New York Stock Exchange (NYSE) and NASD
(the
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
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to correct the inaccurate descriptions of the territorial boundaries of two NASD District Offices.
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
My investment experience has been limited to the last few years, so I can’t pretend to have a comprehensive understanding of every law, rule, guideline, parameter, and standard operating procedure that financial institutions operate in accordance with. However, I can say with certainty that neither do major financial institutions responsible for the behavior of our markets. If the role of a
