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The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would
The Books and Records 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.
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Government bureaucrats have no authority to infringe on the rights of free, private individual citizens to make financial decisions. Congress needs to take action to shut down regulators like FINRA who overstep their bounds.
Regulators have no business telling private citizens what they may or may not invest it. That is Soviet-era behavior. It is also a slippery slope. If one sort of investment can be outlawed, then ANY kind of investment can be outlawed.
Thanks but I do not need your help in deciding what to invest in. I am fully capable of making investment decisions. Restrictions on my right to invest in public securities is a private matter between my wife and I.
Comment Period Expires: June 30, 1997
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NASD Regulation, Inc. (NASD RegulationSM) reminds members of their disclosure obligations when marketing mutual funds and other securities and requests comment on whether a rule should be adopted creating a requirement to
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Make SI private and only for the purpose of enduring that shares held short are not greater than the float. Investors are tired of the memesters manipulating markets trying to force shorts to cover/margin calls.
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
