FINRA Filing Requirements and Review of Regulation A Offerings
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended
Please STOP attempts to introduce regulation FINRA Regulatory Notice #22-08.
I consider it an insult to us the public, to propose this regulation under the pretense of "protection" like we are children, when in reality this is another subvert attempt to manipulate the market and make it even more exclusive.
I live in reservation territory, and it is hard enough for us to
GUIDANCE
Safeguarding Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
New Technology
Privacy
Protection of Customer Information
Executive Summary
NASD members are required to maintain policies and procedures that address
Thé government has no right to tell hard working Americans how they can invest their money. It did not work for it. These rules would block access for the average person to invest in companies that would bring them revenue. A risk is a risk. Everyday you walk across the street you take a risk. Its the for some anonymous government official to decide where and how people invest. This is outrageous
You should do more to educate people on our modern financial system instead of taking away their ability to invest how they see fit. It's not your concern how or why I invest my money. If Nancy Pelosi and other politicians can participate in stock market trades all while making laws that affect company stock price, then I should be able to decide how I want to invest my dollar.
Do you
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
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Operations
Registered Representatives
Registration
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Central Registration / Depository System
IM-8310-2
Investment Adviser / Representatives
U-4
U-5
Executive Summary
The Securities and Exchange
This is an unacceptable overreach. The job if the SEC is to make sure investment products are honest, legitimate investment opportunities. It is not the job of the SEC to pick and choose the people who will have access. This is the USA. It's supposed to be synonymous with personal liberty. The whole certified investor system should be trashed. It's elitist is the worst possible
This is America. People should be free to do what they want. We do not need more bureaucracy or oversight of individual investors. I like leveraged funds and make a bunch of money by investing in them. Do not be [REDACTED] and hurt small investors like me. It is not your job to protect people from themselves if they are playing with stuff they do not understand. If you want be people to
