Training for the Securities IndustryNASAA, the SEC, and FINRA have provided this training presentation as a resource for the securities industry. Firms can use this presentation to train associated persons about how to detect, prevent, and report financial exploitation of senior and vulnerable adult investors. The training serves as a resource for firms implementing the requirements of the
NASDR has filed with the SEC a proposed Discovery Guide for use in NASD arbitration proceedings to improve the discovery process in NASD-sponsored securities arbitrations.
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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It is my constitutional right to invest my personal funds in any form I choose to invest them. Any and all forms of legislation prohibiting an individual from doing so would be a serious overreach and threat to our constitutional rule of law!
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 28, 1986.
••• Executive Summary
NASD members are invited to vote on the following amendments to the NASD Rules of Fair Practice and the NASD By-Laws:
Article III, Section 19(f) of the NASD Rules of Fair Practice — would permit members or persons associated with members to receive performance
I respect the right of regulators to watch out for retail investors, but I do not need you to limit my access to leveraged financial products. Similar to PDT rules, these are impotent and silly regulations. Please reconsider your decision to pursue this course of action.
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
NASDR has filed with the SEC a proposed rule change that would amend NASD Rules 6530 and 6540 to limit quotations on the OTC Bulletin Board® to the securities of issuers that are current in their reports filed with the SEC or other regulatory authority, and to prohibit a member from quoting a security on the OTCBB unless the issuer has made current filings, respectively.
I oppose FINRA dictating regulations on me. I have vern investing over 30 years, and they have no business trying to make it more difficult for me, a Retired woman to invest in whatever I choose.
Please fo NOT impose extra rules on us.
I oppose of any rules or regulations that would prevent me of my right to invest my money into investments of my choosing. This is America. And I think people should start acting like it they know it. Freedom and Liberty.
That's what we stand for.
