Upon a finding that a capital acquisition broker or associated person of a capital acquisition broker has engaged in activities that require the firm to register as a broker or dealer under the Exchange Act, and that are inconsistent with the limitations imposed on capital acquisition brokers under Capital Acquisition Broker Rule 016(c), FINRA may examine for and enforce all FINRA rules
This proposed rule is not necessary or needed. You have no right to tell me what or how to invest my money. Nor do you have the right to quiz me or challenge my investments.
I oppose these restrictions. I must sign an annual agreement with Schwab that I understand the risks of ETFs. The ETFs are part of my investment strategy. There are enough rules and regulations today, we do not need any more.
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
The Neutral Corner—Volume 4, 2019
Mission Statement
Year End Message
Anatomy of a Securities Mediation: What to Expect, How to Prepare and How to Win (by Jeff Abrams, FINRA Arbitrator and Mediator)
Introducing Previously Undisclosed Documents or Witnesses Under FINRA Rule 12514 (by Danielle Williams and Steeve Encaoua, FINRA Office of Dispute Resolution, Southeast Region)
Maintaining
Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
SR-FINRA-2009-026 - Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
SR-FINRA-2009-024 - Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Enforce the rules, it’s not possible to have float greater than available shares, that is called synthetic shares. This is illegal.
SR-FINRA-2009-020 - Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
