I don't believe FINRA even has the capabilities to create a fair and free market as what we have is the literal opposite. If you do, no one has seen it. Synthetic shares are created by the millions with no regulation or repercussion. Shares are traded in dark pools by market makers, then shorted in lit pools to crippled and drive down the price of stocks for market makers and institutions
Short selling, as a tool was intended to hit back at corporations that were found to be cooking the books. Unfortunately, today it is a tool with nefarious intention with no regard for the impact it might have have on an otherwise good company, it's entire employee base and downstream jobs it involves itself in. As one who has managed portfolios and also invests privately it has never been
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 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
The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 60 scored questions and 5 unscored questions. Candidates have 75 minutes to complete the exam. In order for a candidate to pass the Series 63 exam, they must correctly answer at least 43 of the 60 scored questions.For
The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer
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EXECUTIVE SUMMARY
The 1988-89 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and
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Payment Deadline: December 8, 2000
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) 2001
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Regulatory Obligations and Related Considerations
Regulatory Obligations
Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to retail customers of any securities transaction or investment strategy involving securities, including recommendations of types of accounts.
Broker-dealers are also required to provide a
