Decimalization and Qualification Exams
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home?The solution: “FINRA in a Box.”That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory
Hello Friends,
I appreciate FINRA's overall services as a regulatory authority but am asking you to leave my option in place regarding "complex" products, especially the inverse funds offered by ProFunds. Please do not restrict investor's abilities to buy these funds.
Thank you,
R. Kent Knight
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Public investments for The Public , should not be Regulated by any authority other than those Investors! The entire system is based on the investments of Public citizenry.
Public investments should be available to the public for investment. Caveat Emptor. Too often "professionals" are able to game the system to their advantage through regulation.
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
Public investments are part and party to the free market system of capitolism and needs to be left alone. It is wrong for congress to get involved and they are suppose to be neutral.
Executive Summary
Due to the recent tragic events resulting from Hurricane Katrina, NASD is aware that members with offices in the affected areas are concerned with a number of regulatory and compliance issues. In this regard, NASD is providing guidance on these issue, including guidance on emergency office relocations, continuing education requirements for registered personnel, registered
