NASD has filed with the SEC a proposed rule change to amend Rules 10308 and 10312 of the NASD Code of Arbitration Procedure to further ensure that individuals with significant ties to the securities industry may not serve as public arbitrators in NASD arbitrations.
Rules are nice, enforcing them would be nicer.
Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
As an investor and an advisor, it's interesting to watch how our representatives deem it necessary to place restrictions on how consumers can invest. In my world, we often talk about how so many people go to college, and they work to obtain a business degree from people who have never owned a business and lived it in the real world. I understand, the investment should be able to offer the
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
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NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws by establishing a late fee to be assessed against NASD members that fail timely to pay their yearly renewal fees to the Central Registration Depository.
All the rules are doing is hurting the small guy. Quit hurting the small guy. Enable us. Unleash cryptocurrency. Morgan Ray. [REDACTED]
* Dark Pools should be banned , they are being misused against retail by large players * Naked short selling can be address in 21st century by simply adding a unique identifier to each share and can be tracked for short selling. * Rules need to be enforced, cannot just have rules like SSR and nobody follows them, shares actually fall more on days of SSR * Fines should be increased 100X maybe some
