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.
NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Principal—Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a direct participation
Dues Must Be Paid By December 15, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1995–96 NASD® broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that includes fees for NASD personnel assessments,
When you think of the best work environment in information technology, you probably think of a place where you can do highly advanced work that makes a positive difference. Where the organization values your unique contribution and perspective, and invests in your ability to reach your potential. Where collaboration and innovation are among the core values.You might not think of a securities
SummaryFINRA reminds members of its policy prohibiting members and their associated persons from making audio or video recordings of conversations between FINRA staff and member firm personnel during calls or meetings related to FINRA’s oversight functions.Questions regarding this Notice should be directed to Carrie Jordan, Principal Counsel, Office of General Counsel, at (212) 858-4210 or by
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Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of May 13, 1991, the following 28 issues joined Nasdaq/NMS, bringing the total number of issues to 2,540:
Symbol
Company
Entry Date
SOES Execution Level
PNRL
Penril DataComm Networks, Inc.
4/15/91
1000
BTRE
Brooktree Corporation
4/17/
We are at a cross roads as an economy, thus as a country. Hedge funds and other similar large corporate entities have an unfair advantage in the market, and has acted to the detriment of the health of our economy as a whole. Loose rules related to the reporting of short interest and FTDs(fail to deliver) has created an environment that allows hedge funds and the like to take advantage of retail
Feral Talib is an Executive Vice President and the Head of Surveillance and Market Intelligence in FINRA’s Market Regulation and Transparency Services (MRTS) department, with responsibility for leading FINRA’s market surveillance programs.Mr. Talib was previously the Global Head of Market Surveillance at BNP Paribas Group. In that role, he had strategic leadership of all market surveillance
February 24, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss the 2021 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerThomas Mellett, Senior Director, ExaminationsSteven Polansky, Senior Director, Member
February 28, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision staff to discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerGreg Ruppert, Executive Vice President, Member SupervisionKayte Toczylowski, Vice President,
