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Unless the endorsement specifies otherwise, there shall be a presumption that stock registered in a firm or business name is registered in the name of a partnership and not a corporation.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
All capital acquisition brokers and persons applying for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1010.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All witnesses must testify under oath or affirmation.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
Shareholder derivative actions may not be arbitrated under the Code.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
All witnesses must testify under oath or affirmation.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.
All capital acquisition brokers are subject to FINRA Rule 1240.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 1230.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 1220.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 1210.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
I am contacting you to express my opposition to notice 22-08. I have been investing in leveraged funds for well over a decade, and find it inappropriate for you to limit my freedom to do so without undue interference from you. These are my assets, and I believe it is well within the scope of my prerogatives to decide how to invest them.
In particular, I find it offensive that I should have to