SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
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
Background
Examinations are central to FINRA's regulatory operations, and they are one of the principal means by which the organization protects investors and promotes market integrity. FINRA's examinations also aim to provide valuable feedback to firms on areas for improvement and best practices based on insights we have gathered from examining others in the industry.
FINRA has
The U.S. Social Security Administration offers a service that enables employers to verify the social security numbers (SSN) of employees. FINRA recommends that its member firms consider using the SSN verification service in connection with the pre-registration or employment process.
The verification process differs depending on the number of names or SSNs your firm wants to check:
Up to 5
It is common knowledge that markets are manipulated by large funds and privileged wealthy investors. Leveraged and inverse funds are the small investors way to level the playing field. People should have the right to make their own financial decisions. Information regarding risks is adequate to inform an investor who should take responsibility for their own actions. Passing a knowledge test does
The following frequently asked questions provide information about the Central Registration Depository (CRD).
Hello, I'm sending this comment on behalf of the current situation of short sales being done within the stock market of AMC. As a new investor being affected by the current situation of the manipulation being held within the stock market, specifically AMC, it has been disheartening to see what's being done to the stock market. I've noticed throughout my time investing, I, along
Public investments should be available to all of the public, regardless of net worth. If attesting to having read information about an investment is deemed an appropriate balance, I would be supportive of that.
I would be opposed to banning any products. Information is readily available for anyone who seeks it. People have to take responsibility for their own decisions. You can't regulate it.
Please to not restrict the public's ability to invest in a broad array of securities. It is more important that information and risk be disclose than for an individual to be required to pass a "test" in order to invest.
I'm not understanding this notice clearly. But I do right kind of investment as available on US stock exchanges. Please do not confuse me with such restricted information and I oppose such regulations.
