Why does this really of locking down investments so only the very rich and government saps can invest? Pretty much sounding like you're intentionally going to crash the markets on everything else as you all move your money into these accounts to protect it. Just so "you can own nothing AND NOT BE HAPPY". Sorry, your [REDACTED] tag claiming everyone will be happy when only you will
I am diametrically opposed to the financial liberty restrictions being proposed. It is abhorrent that such things would even be considered in the United States of America. Free enterprise is the bedrock of our world leadership across the board. It is the height of elitist distain for the common man to deny access to financial instruments while reserving access to the wealthy who can afford the
FINRA Regulators, as a self employed professional engineer who also sits on the Snyder County Planning Commission for the last 10 years, issues of regulatory affairs are common to me. And as a person who manages 2/3 of my retirement portfolio, having inverse tools to help protect against market downturns is vital to me. This is the second time within 10 years that an appeal has been made to keep
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
Reorganization and Revision of NASD Mediation Rules
July 1999
Year 2000: Will Your Firm Be Compliant?
Recognizing the importance of ensuring the Year 2000 readiness of the securities industry, the Securities and Exchange Commission (SEC) has taken key steps to encourage active compliance efforts by broker/dealers. The first of these actions required broker/dealers to submit two Form BD-Y2K progress reports under Rule 17a-5 of the Securities and
March 1999
Deadline For Completion Of Form BD-Y2K Is Near
The National Association of Securities Dealers, Inc. (NASD®) recently mailed a Form BD-Y2K package to each member firm for completion by April 30, 1999.
The recent amendments to Securities and Exchange Commission (SEC) Rule 17a-5 require all NASD members with minimum net capital requirements of $5,000 or greater as of March 15, 1999,
March 1999
Deadline For Completion Of Form BD-Y2K Is Near
The National Association of Securities Dealers, Inc. (NASD®) recently mailed a Form BD-Y2K package to each member firm for completion by April 30, 1999.
The recent amendments to Securities and Exchange Commission (SEC) Rule 17a-5 require all NASD members with minimum net capital requirements of $5,000 or greater as of March 15, 1999,
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270. The purpose of the proposed rule change is to substitute for Office of General Counsel review of proposed Acceptance, Waivers and Consents (AWCs) and proposed violation letters under the minor rule violation plan pursuant to SEC Rule 19d-1(c)(2)
SEC Approves the CAT Fee Dispute Resolution Process
