I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is January 30, 1984
Enclosed herewith are proposed amendments to Article III, Section 19 of the Rules of Fair Practice and the Explanation thereto. These amendments have been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, they must
GUIDANCEExecutive RepresentativesEffective Date: May 14, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementExecutive RepresentativeRule 1150Executive SummaryOn March 29, 2004, the Securities and Exchange Commission (SEC) approved a rule change to require members to review and, if necessary, update their executive representative designation and contact information
Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
All my liberty's seem to be under attack I can choose how to invest with out regulatory over reach. I dont need need or want this proposal. You do not need to protect me from myself I am perfectly capable to choose investments. Please keep your rules out of my life.
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Allow us the right to invest what we want. Why does the government always think they can control what its people do? If we had all these rules in place when this country was founded we would cease to exist as country. It's our hard earned money we are investing.
Complex financial products(Leveraged and inverse funds) are well explained in disclosures and everyone is well aware of the risks involved before investing in them. You should not have to be an accredited investor or go through special processes to have access to these types or investment options. We do not need additional rules and regulations on these types or products.
In regard to the proposed rule 22-08: Individuals need to have the freedom to choose the public investments that are right for ourselves and our family. This is a matter of freedom in public investments and should not be limited to the privileged few. I am adamantly opposed to more regulations which limit my investments. Let's keep America free from such tyranny.
