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Executive Summary
During the last two years, NASD Regulation, Inc. (NASD RegulationSM) has imposed numerous and
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Senior Management
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Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
I oppose ANY regulation limiting my choice to invest in any product or service of my choice.
We should be able to choose the public investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
We shouldn't have to go through any special process
like passing a test before we can invest in public securities,
like
SEC Approves New Supervision Rules
FINRA has launched the API Developer Center as a strategic initiative to support the automation goals of the industry. Many of our member firms as well as their service providers have software and systems that they want to integrate with FINRA products and services. The API Developer Center represents our commitment to a fully supported suite of APIs so that API developers can be confident that
On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared FINRA's updated Fingerprint Plan effective September 22, 2023. This Program outsources fingerprint processing to Sterling Identity (Sterling), the same FBI-approved channeler that processes fingerprints for broker-dealers on FINRA’s behalf.
It is the sole responsibility of the investor to choose securities that meets their assessed risk tolerance. It is the responsibility of the securities and brokerages to accurately publish the risks and potentials for their products. Thus, adding regulations beyond these fundamental purposes skew the landscape to play favoritism and hurt the market. Demanding a test or license or education
I am vehemently opposed to FINRA trying to impose restrictions on my ability to invest in public investments. As an experienced trader, this type of nanny state is absolutely unnecesary and completely and thoroughly at odds with our capitalist system. We all have the responsibilties and rights to learn about investments and to be able to invest unfettered in publicly traded products. Creating
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
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