TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 27, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comment by members and other interested persons proposed amendments to the NASD By-Laws and Code of Procedure that would establish procedures for extended hearings in disciplinary actions before the NASD. These amendments would
Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
I am John Gannon, Senior Vice President for Investor Education with the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
View an index of archived OATS Reports in the page.
Amendments to NASD Rules Regarding Margin Requirements
Effective Date: December 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to
Executive Summary
On May 18, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Interpretive Material 2110-1 (IM-2110-1) and Rule 2720, revising certain provisions of the Free-Riding and Withholding Interpretation (Interpretation). These amendments address direct and indirect owners of broker/dealers, investment
INFORMATIONAL
Operations
Effective Date: September 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
ACATS Rules
Uniform Practice Code
Executive Summary
On September 12, 2001, the Securities and Exchange Commission (SEC)
To the regulatory committee members of FINRA trying to restrict investors: I am writing you to tell you I highly oppose, as well as being highly offended, that you are planning to regulate personal investing in complex stocks. That is a bold, radical, and unprecedented action that invades my personal freedom to CHOOSE what I do with my money, which I earn. I should be able to let MY MONEY work
Why has this troubling threat of severe restrictions shown up again to damage retail investors- many of whom are middle-class hard-working law-abiding Americans- by trying to take away the ONE SINGLE WAY we have to create decent financial protection and secure retirement for ourselves? The mega-money people in the Wall Street game have their insider information, algorithms, and just-this-side of
