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Rule 2711
Executive Summary
NASD has filed for immediate effectiveness a proposed rule change
to codify certain
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
I oppose government restrictions to my right to invest in things such as inverse ETFs. They are public investments and should remain fully accessible to the public without government restrictions. I feel totally informed and safe in making this kind of investment decision and have been doing so for some time. So long as risks are spelled out for the investor they are suitable for any private
I believe investors should be able to make their own decisions based on the opportunity to invest in innovative technology. Many investors dont have the millions or billions of dollars to invest in start ups or big private equity deals like all the multi billionaires, VCs andPE firms do and by limiting the average retail investor to only buy proven mutual funds that are a basket of stocks you
As a private investor, we should be able to make our own investment decisions. I/we earned this money, not you. We are entitled to invest our own money however we choose. You let people gamble in Vegas, right? You let people engage in online betting, right? You let people buy cigarettes and alcohol, right? I am fully capable of understanding the risks of leveraged and inverse funds. I
Continuing Education Planning
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
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Member SupervisionCollege of Examinations and College of Risk MonitoringThe College of Examinations (COE) and College of Risk Monitoring (CORM) are elite training programs kicking off in July. A group of entry-level employees will start their careers in Member Supervision through a multi-week training and networking extravaganza.The COE and
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership
Comment Period Expires: September 29, 1997
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In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the
