Absolutely not on proposed rule S7-24-15
We are perfectly capable of making our own investment decisions without government oversite
It is wrong and none of their business what I invest in. I oppose any change to the rules. Not far to stop me from making money on them.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to questions by members, issuers, and the legal community, the NASD is issuing this Notice to Members to
SR-FINRA-2009-021 -
Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
I am completely in agreement with this rule. Uneducated investors should not be investing in things they dont understand. Keep up the good work FINRA.
(a) Content, Scope and Form Requirements
When a decision issued under Rule 9268 or Rule 9269 or an order of acceptance issued under Rule 9270 imposes a permanent cease and desist order, it shall:
(1) order a Respondent (and any successor of a Respondent, where the Respondent is a member firm) to cease and desist permanently from violating a specific rule or statutory provision;
(2
Broker/dealer should seek SEC interpretative advice regarding "override" payments to insurance company for securities transactions executed by registered representatives who are associated with both the broker/dealer and the insurance company.
Effective Date: April 1, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1998, foreign equities and American Depositary Receipts (ADRs) that are not registered with the Securities and Exchange Commission (SEC) under Section 12 of the Exchange Act will no longer be
Dear FINRA Members, As well as you may know, in Argentina we have serious limitations or restrictions to manage our own surplus money. And that's the reason why I thought your country was a bit different from ours, because you have the freedom (as in many other things) to invest in whatever you want to. Now, reading about all these "rules" "tests" , etc only brings me bad
