Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
I clicked over to a website that does not support the proposed rule, but I *DO* agree with the limitations being proposed. I was Series 7 and Series 63 licensed, and have seen many people maneuvered into investments that neither they nor their financial advisors understood. The results can be devastating. I think it might be better to do a two-pronged approach with limits on the types of
If I have the money to buy shares then I deserve the right to buy it. Besides its the stock market has people buying and selling all the time without any discrimination. So what are you going to say, "Oh the stock market dose not allow people from the LGBTQ community, or of certain race / nationality of people, to do stocks and/or bonds because we wont to keep only the right kind of people
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
I believe any additional oversight or reporting requirements in regard to short positions would be a net positive. Abusive shorting of securities has both introduced idiosyncratic risk and reduced faith in the integrity of United States financial markets.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2011
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of March 13, 1991, the following 13 issues joined Nasdaq/NMS, bringing the total number of issues to 2,545:
Symbol
Company
Entry Date
SOES Execution Level
CTRX
Celtrix Laboratories, Inc.
2/11/91
1000
DISK
Image Entertainment, Inc.
2/19
Attn: FINRA I do NOT want to be restricted as to when and how I invest my monies for my personal financial satisfaction. I've had to invest outside of a major brokerage; now choosing ProShares funds for this reason. I'm a senior citizen with many years of managing my own investments and am well aware of the risks life and ALL investments present and do NOT need to be further advised. Do
