U. S. BOSTON CAPITAL CORPORATIONLINCOLN NORTH, LINCOLN, MA 01773Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773U.S. BANCORP ADVISORS, LLC800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203U.S. BANCORP INVESTMENTS, INC.60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107U.S. BROKERAGE, INC.17 E KOSSUTH ST,
N.A. INVESTCORP LLC280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017N.B. ZOULLAS SECURITIES, INC.ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119N.E. PRIVATE CLIENT, LTD790 NORTH MAIN STREET, PROVIDENCE, RI 02904N.I.S. FINANCIAL SERVICES, INC.500 EAST 9TH ST., KANSAS CITY, MO 64106Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103NABSECURITIES, LLC277 PARK AVENUE, 19TH FLOOR,
I'm retired State Service living on Social Security with little long term security! I've been a investor in Celsius since 2019 and as of April 15th informed that I can no longer receive interest benefits when investing in the future because I'm not financially influent! But I can go to Vegas at
Anytime! Eliminate this barrier!
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
(a) Definition of "Ranking Entity"
For purposes of this Rule, the term "Ranking Entity" refers to any entity that provides general information about investment companies to the public, that is independent of the investment company and its affiliates, and whose services are not procured by the investment company or any of its affiliates to assign the investment company a
It would be perilous to impose further checks that can be arbitrarily initialized by brokers with an existing conflict of interest via execution of Dark pools or naked shorting. With the flux of retail investors and the massive flux of public man-hours allocated to investigation of the current regulatory systems. Even with tepid limitations on tort in Canada; The existing premium paid for latency
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Its absolutely mind boggling that you would think this is okay. You arent even trying to hide the fact youre rigging the system for Wall Street and the wealthy.
I know and accept the risks involved with leveraged funds. It should be my personal choice to invest in these funds. I fully oppose any more regulation on a free market system.
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
