TO: NASD Members Participating in Sales of Direct Participation Program Securities
The National Association of Securities Dealers, Inc. is circulating the attached questionnaire to members which participate in sales of direct participation programs in order to ascertain the level of interest in a communications service that would disseminate information about DPPs to members and sponsors. This
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
The GI Bill is a valuable benefit that has helped veterans pay for college since World War II. Learn how to make the most of the GI Bill and start using the benefits.
"Complex Products" as FINRA calls them are an extremely important part of the financial system. They allow investors of all sizes to hedge against downside risk and increase upside potentials. Restricting their access would be extremely detrimental to the financial health of the markets and to millions of investors of all sizes.
Whats next Fried chicken and alcohol can also be bad for you. Are you going to create a rule for people to pass a health test and a written test to be able to eat fried chicken and drink alcohol??
Its called freedom of choice. Protect it. Dont take it away.
As a retail investor, I do meticulous research on the financial health of companies I invest in, and do quite a bit of work to justify adopting a particular strategy or level of financial risk. Closing off inflows of retail investment dollars damages me, and my investments, regardless of the intent of the rule
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
DOHJ.GA
Doehler-Jarvis
11.875
6/1/02
TEXN.GC
Tex-N.M.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 8, 1991, the following seven issues joined Nasdaq/NMS, bringing the total number of issues to 2,554:
Symbol
Company
Date
SOES Execution Level
AHSI
ALTA Health Strategies, Inc.
1/22/91
1000
GENZW
Genzyme Corporation (Wts)
1/
I oppose restrictions on your right to invest in public investments. What makes US stock market so great is our ability to freely invest in an investment script. While I agree for certain regulation to avoid fraudulent schemes and normal up-keep of market health, this regulation removes the common right to invest.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of September 16, 1988, the following 15 issues joined the NASDAQ National
