Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding the effectiveness of communications with and education of firms, including ways in which FINRA could enhance its engagement with member firms. After careful review of the comments and suggestions received, FINRA is taking a number of
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
COMMENTS MUST BE RECEIVED BY OCTOBER 1, 1984
The National Association of Securities Dealers, Inc. (the "Association" or "NASD") is publishing for comment a proposed new Section 65 to the Association's Uniform Practice Code which would establish procedures for customer account
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As discussed in the 2017 Report on FINRA Examination Findings, FINRA has observed firms that receive, handle, route or execute customer orders encountering challenges with meeting their duty of best execution in
I am an experienced investor 78 years of age. The proposed new regulations on us citizens to invest in leveraged and inverse funds is completely against our foundations as a Republic. We, the American people, have a God given right to invest as WE see fit - not the government. These strategies are essential parts of our investment tools. The government has no right to hinder our financial freedom
INFORMATIONAL
Registration Of Chief Compliance Officers
Effective Date: January 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Chief Compliance Officers
Continuing Education/Testing/Qualifications
Registration
Executive Summary
On June 19, 2001, the Securities and Exchange Commission (SEC)
I want to write in and let whoever is considering this rule change to know that as a retail investor I am fully aware of the risks that I take by investing in securities.
I believe it would out an undue burden on the citizens of the US if there were more obstacles put in their way in order for them to have access to securities. Participating in the growth of the some of the best companies that
I have been investing for myself and my family for years and use leveraged and inverse funds as part of an overall portfolio strategy. These types of funds should be available to the general public without any additional onerous rules to use them. Hedging strategies are important to use in certain circumstances and they should not only be available to the privileged few. Regulators should be
I completely disagree with the proposed regulations to impose restriction or any limitations on my ability to invest in leveraged or inverse leveraged funds. The risks associated with these investments, like any other investment vehicle, are clearly detailed in the Prospectus documents which are readily available to the public. I oppose Government regulators imposing what I view as arbitrary and
As someone who works in the film industry, particularly movie advertisement, it's crucial to my career, as well as the many others in my industry that theater companies are free to pursue their clearest path towards profit without external interference from market manipulation. Naked shorting is a direct threat to the entire industry and our jobs. Please consider implementing enforceable
