This is a ridiculous rule to keep working people poor. Some of us want a chance to be able to grow our wealth to retire early . This is class war. Right now is a very uncertain time and we need to be able to build for ourselves a better future .
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
There is no transparency within the market. End Dark pools. Strictly enforce SSR Enforce FTDs without delay. Make everyone, not some, play by the rules properly
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
We want T-0 settlement. We want transparency. We want jail time and not fines for breaking rules. We want a fair stock market.
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from July 31, 2022 to October 31, 2022.
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 do not support the proposed rule and believe I should retain the ability to invest in whatever investment products I desire without going through special process. This comment in particular pertains to leveraged and inverse funds which an important part of my investment strategy.
Regulators, I oppose restrictions on my right to choose and invest in public investments. I do not need, or want, new rules concocted to determine what my investment options are, or, how, and when I am "allowed" to invest my own funds in public investments.
