Unless otherwise indicated, suspensions will begin with the opening of business on Monday, November 18, 1996. The information relating to matters contained in this Notice is current as of October 28, 1996. Information received subsequent to the 28th is not reflected in this edition.
Firms Suspended, Individuals Sanctioned
Euro-Atlantic Securities Inc. (Boca Raton, Florida) and David Paul
While the day trading orule may have been intended to protect traders, it has become a significant barrier for smaller retail investors, exposing them to greater risks rather than providing true protection.1. Lower the Minimum Balance RequirementThe $25,000 minimum balance is prohibitive for many retail investors, effectively excluding them from the benefits of day trading and creating an uneven
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
GUIDANCELiquefied Home EquitySUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered RepresentativesSenior ManagementCommunications with the PublicHome Equity Lines of CreditLeverageLiquefied Home EquityMarginMortgagesExecutive SummaryThe rapid increase in home prices over the past several years, in combination with refinancing activity by homeowners, has lead to increasing investment activity
Jacqueline Perrell is Senior Vice President and Chief of Staff in Market Regulation and Transparency Services. Ms. Perrell is responsible for overseeing a wide variety of core functions within the department, including strategic initiatives, business operations, training and development, and regulatory compliance functions. Previously, Ms. Perrell was Vice President in Member Supervision and the
I am here today to tell you about the NASD’s recently proposed rules governing analyst recommendations. In light of what we have heard today and in the weeks following the Enron revelations, I think you will agree that these rules will help American investors.
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
M FINANCIAL SECURITIES MARKETING, INC.1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209M HOLDINGS SECURITIES, INC.1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207M STEVENS SECURITIES, LLC3753 HOWARD HUGHES PARKWAY, SUITE 200, LAS VEGAS, NV 89169M&A SECURITIES GROUP, INC.4151 N. MULBERRY DRIVE, SUITE 252, KANSAS CITY, MO 64116M
It is me as a US Citizen and individual investor - not regulators who 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.
We investors shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and
