Stop making rules that Hurtado cripple small investors. Keep the field level. Stop the [REDACTED]. Everyone should have the right to invest without these restrictions.
Proposed Rule Change to Revise the Series 26 Examination Program
SUGGESTED ROUTING*
Senior ManagementInstitutionalLegal & Compliance OperationsSystemsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 18, 1990, the Securities and Exchange Commission (SEC) approved an NASD proposal to require market makers in NASDAQ to display quotation size greater than or equal to the
Please implement these rules and reporting requirements. This will add clarity and transparency to the markets
Regulatory Obligations and Related Considerations
Regulatory Obligations
FINRA Rule 4530 (Reporting Requirements) requires member firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, violations of securities laws and FINRA rules, certain written customer complaints, certain disciplinary actions the firm takes and
I support proposed rule #22-08. Over the past 30 years Wallstreet has banked on swindling middle America with complex investment vehicles. It needs to end.
This rule is ridiculous, just another attempt to keep poor people poor and the rich, rich. It's a shame that the so-called American dream has turned into a nightmare.
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 2
Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs
Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
