Summary
The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.
The amendments are effective for cases filed on
We do NOT need regulators to monitor or rule our accounts
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Executive Summary
On January 13, 1999,
Rules of leverage and options should not be changed at this time for qualified investors.
The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
I am totally against these new rules. More liberty, not less.
The proposed rule changes are unnecessary. The risks are already clearly stated
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
This is an absurd rule. People are competent to do what they wish with their money.
