Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
You should be aware that certain types of conduct in the securities industry are prohibited.
To Whom It May Concern: I am a self-directed individual investor writing to urge you in the strongest possible terms to avoid creating any new regulatory barriers to investing in leveraged or inverse funds. Your role in upholding basic investor protections is vital to the integrity of the market. While institutional investors can access a variety of financial instruments to take advantage of
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
If you’re just starting your career, planning for retirement might be the last thing on your mind. However, the choices you make now can significantly affect your finances in the future. You don’t want to overlook is the 401(k), which can be a powerful resource for building a secure retirement.
Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees
Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
