Summary
FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect an individual to fill one small firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible small firms be represented by proxy or in
April 2004
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must establish its own
I strongly disagree with this proposed regulation. The current disclosure-based system serves investors very well. Public investments should be available to everyone, not just a select few. This regulation would do more harm than good for individual investors by limiting investment choices. Every individual investor should have the freedom to do their research and select the investments they want
RE: Restrictions on Leveraged and Inverse ETFs
We know that these investment vehicles are legal, so restricting access is basically unethical and corrupt. If these investment vehicles are open to some, then they should be open to all. The proposal includes language about needing to pass a FINRA exam to invest. Scarry Part is the fact that other investment vehicles could become restricted as
Please consider my concern that additional burdens, placed by government, on my ability to select the investment vehicles of my choosing, is not merely unwanted, but antithetical to the entire concept of risk/reward, upon which our system is predicated. I strongly urge that regulations be focused exclusively on facilitating efficient investments and leave the particular manner, and options for
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
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Executive Summary
The purpose of this Special Notice to Members is to inform
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
It's time that government respect the rights of the people to determine the course of their financial affairs. To be ignorant of cryptocurrency, via block chain technology is the fault of no one else but lazy politicians. The banks are just as spiteful due the fact that decentralized peer to peer access and accounts is the best challenge to a stagnant centralized banking system. Value is
