SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On January 5, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change codifying existing requirements for access to and use of the OTC Bulletin Board® service (OTCBB).1 This codification will provide a ready reference to OTCBB rules and operational requirements in a discrete section of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from April 30, 2021, to August 31, 2021.
Any delays in settlement provides a wide open door for manipulation & that is exactly what we see now. Rules do not matter when there is No Enforcement!
(a) General Provision
(1) Each member required to join the Securities Investor Protection Corporation shall maintain blanket fidelity bond coverage which provides against loss and has Insuring Agreements covering at least the following:
(A) Fidelity
(B) On Premises
(C) In Transit
(D) Forgery and Alteration
(E) Securities
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.
The elevation of chosen investors, creating the “accredited investor” designation that can be achieved solely on the measure of a one's wealth or income was an egregious, unmistakable step toward oligarchy. With existing rules already in place, governmental agencies are now using a wealth/income-based designation to reserve high-risk, high-reward investment opportunities and products for
This rule change is long overdue for the sustainability and transparency of the markets.
Effective September 22, 2008, FINRA will begin deducting all delinquent arbitration and mediation fees owed by member firms from their Central Registration Depository accounts.
