I do not need my hand held when it comes to investing. This ruling is ridiculous. You are threatening my livelihood with these recommendations.
(a) Designation of Custodian
A member that files a Form BDW shall designate on the Form BDW, as the custodian of the member's books and records: (i) a person associated with the member at the time that the Form BDW is filed; or (ii) another FINRA member.
(b) Obligations of Custodians
The custodian designated on the Form BDW shall preserve the books and records of the member
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
1 The views and opinions made in this report are those of the authors and do not represent official views or policies of FINRA. This report does not express any official FINRA legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes
This rule change is long overdue for the sustainability and transparency of the markets.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws ("Schedule A") to increase examination fees that shall be assessed on persons taking certain qualification examinations as of January 1, 2006.
Don't you dare take this right away from investors. If this rule passes I'm pulling everything out of the market.
I oppose SEC Proposed Rule #S7-24-15. I have the right to choose the public investments that are right for me and my family
I am opposed to your proposed limitations on my ability to purchase and sell investments. Your proposed rule should not be implemented.
