Treatment of Non-Margin Eligible Equity Securities
"Fines" = "hush money". Put the illegal shorters in jail SOON! Stop building your evidence because it's already been done for you via Overstock.com via gamestop via New Mexico vs. Banks. If the policies are preventing prosecution, put a vote to change them. Not next election, TODAY! This conflict of interest happening with your revolving door has got to stop TODAY! These
Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
GUIDANCE
Do-Not-Call Registry
Effective Date; March 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
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Executive Summary
On January 11, 2005, the Securities and Exchange Commission (SEC)
approved amendments to
You not regulators should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
It is very important that you express your views in your own
wordsyour comments are more likely to be taken seriously
by FINRA if they reflect your own experience and perspective.
Not only do
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
FINRA Rule 4530 (Reporting Requirements) requires firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, violations of securities laws and FINRA rules, certain written customer complaints and certain disciplinary actions taken by the firm.
