All investment are inherently risky. Disclosure needed not restriction. Rules proposed discriminate disproportionately public investors.
This is another attempt to keep the rich getting richer and to hold everyone else down. These rules are elitest and amoral.
Sec. 5. The chairman of the meeting shall be the Chief Executive Officer of the Corporation or his or her designee. The date and time of the opening and closing of the polls for each matter upon which the members will vote at a meeting shall be announced at the meeting by the chairman of the meeting. The Board may adopt by resolution such rules and regulations for the conduct of the
(a) The Rules shall apply to all members and persons associated with a member. Persons associated with a member shall have the same duties and obligations as a member under the Rules.
(b) A member or person associated with a member, who has been expelled, canceled or revoked from membership or from registration, or who has been barred from being associated with all members, shall cease to
(a) In accordance with Rule 1004 of SEC Regulation SCI, FINRA will designate members that will be required to participate in FINRA's periodic, scheduled testing of its business continuity and disaster recovery (BC/DR) plan. FINRA will do so according to established criteria that are designed to ensure participation by those members that FINRA reasonably determines are, taken as a whole,
(a) Payment to Treasurer
All fines and other monetary sanctions shall be paid to the Treasurer of FINRA and shall be used for the general corporate purposes.
(b) Summary Suspension or Expulsion
After seven days notice in writing, FINRA may summarily suspend or expel from membership a member that fails to:
(1) pay promptly a fine or other monetary sanction imposed pursuant to
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
As an investor, It is important that I have the tools that I believe are right for my goals. Please reconsider the rules you are proposing.
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 13, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The proposed amendment would conform the NASD rule to that of the New York Stock Exchange.
