I am writing to you regarding the government overreach that is FINRA #22-08. As an investor I expect that I should be able to make public investments without interference from the government. I understand it is my responsibility to educate myself on prospective investments and I don't expect to have to jump through government imposed hoops in order to do so. I urge you to not move
REQUEST FOR COMMENT
Compensation for the Sale of Investment Company Securities
Comment Period Expires: October 17, 2003
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
NASD Rule 2830
Revenue Sharing
The Reasonable Diligence for Private Placements section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
If want all information about short interest exposed for public to see Honestly we the Americans and rest of the world are tired...we want and need prooer regualtion of the stock market..everyday stock.is open we seeing manipulation . Everyday the retailer os always bag holder... You finra and sec need cut that bs of fines..that shit never works..we.want see pple go to jail...all this wealthy
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS MARCH 21, 1987.
EXECUTIVE SUMMARY
Members are invited to vote on amendments to the NASD By-Laws and Rules of Fair Practice that would effect certain technical and conforming changes to reflect the NASD's position on the use of disgorgement as a sanction in disciplinary proceedings. These
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 10, 1991, the Securities and Exchange Commission (SEC) unanimously approved four changes to the Small Order Execution System (SOES) operated by NASD Market Services, Inc. for Nasdaq securities.
INFORMATIONAL
NASD By-Laws Amendments
Effective Date: December 1, 1999
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Associated Person Definition
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive
(a) Persons Subject to Sanctions
If a Party, attorney for a Party, or other person authorized to represent others by Rule 9141, engages in conduct in violation of an order of a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, or other contemptuous conduct during a proceeding, a Hearing Officer, Hearing Panel or, if applicable, an Extended Hearing Panel, may
Respected Regulators, Leveraged and inverse ETFs help me hedge my portfolio and I would really appreciate if you don't impose any rules such as passing a test before investing in such ETFs. Investors understand the risks these risks since the information is widely available. I would really appreciate if you let investors choose what works best for them. Thank you!
Limiting citizens ability to trade leveraged funds, commodity funds, REITs and various other financial instruments is a direct attack on the citizenry and should be unconditional. This would be a hindrance on financial freedom in what is a world where opportunities and social mobility is increasingly hard to find. As a broker and US citizen, I vehemently oppose such a rule and think those who
