Guys, stop with the whole, "YOU DON'T KNOW WHAT YOU'RE DOING! WE HAVE TO PROTECT YOU FROM YOURSELF!" .. It's outdated and clear that you just want more control over who can invest, when they can invest, and how many people can actually become financially stable in the future, far and near. Again, it's all about control, you want the control
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 20, 1992, the following 30 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,956:
Symbol
Company
Entry Date
SOES Execution Level
EZEMB
E-Z-EM, Inc. (Cl B)
10/27/92
1000
HALO
HA-LO Industries
.
Under the regulations being considered by the Financial Industry Regulatory Authority (FINRA),
you may not be able to buy leveraged and inverse funds and dozens of other popular
investments deemed to be complex unless you:
Pass a regulator-imposed test of your specialized investment knowledge
Demonstrate a high net worth
Get special approval from your broker
Attest to reading certain
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of May 13, 1991, the following 28 issues joined Nasdaq/NMS, bringing the total number of issues to 2,540:
Symbol
Company
Entry Date
SOES Execution Level
PNRL
Penril DataComm Networks, Inc.
4/15/91
1000
BTRE
Brooktree Corporation
4/17/
SUGGESTED ROUTING:*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 12, 1991, the following 19 issues joined Nasdaq/NMS, bringing the total number of issues to 2,535:
Symbol
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
Ver en españolOnly when people are aware of the Office of the Ombuds can they seek our assistance. This is why we strive to increase our outreach to our constituents—investors, the broker-dealer industry, FINRA staff, and any other FINRA stakeholders. In 2023, our outreach included meeting with investor representatives; participating in investor, industry, and employee events; and enhancing our
Thank you, Elisse. Good morning, everyone - it's wonderful to see all of you here today. All of us at FINRA are committed to assisting you with your compliance efforts and these conferences are a large part of that effort. I'm thrilled you took the time to come to Scottsdale.
Summary
In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of 1934,1 FINRA is issuing this Notice to re-open the comment period for Regulatory Notice 15-13. Rule 15b9-1 currently provides proprietary trading firms with an exemption from membership in a national securities association. If the SEC re-proposal is adopted, the
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 1, 1986, 18 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,420. These 18 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
