You are encroaching on my freedoms again. This #22-08 Rule is not in line with our rights.
Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
(a) A covered member that engages in distribution or solicitation activities with a government entity on behalf of any investment adviser that provides or is seeking to provide investment advisory services to such government entity shall maintain books and records that pertain to Rule 2030, including a list or other record of:
(1) The names, titles and business and residence addresses of
Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
FINRA published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. The report provides member firms with key insights and observations from recent activities of FINRA’s regulatory operations to use in strengthening their compliance programs.
I totally disagree with the regulators. If rule change all the money I loss with never recover
Hello, as a financial services professional I oppose SEC proposed rule #S7-24-15
I thought this is a free country! Stop restricting freedom of investors and changing the rules of the game!
