BrokerCheck Release Notes
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Continuing Education Regulatory Element Notifications And Reports
Inactive
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
ACTION REQUESTED
Limit Orders — Manning
It’s easy to lose track of 401(k) accounts if you don’t take them with you. As the years go by, companies might be restructured, sold, or go out of business
The brokerage company I work with always provides information on risk with investing. As do drug companies with risk on heath. Leave the way I want to invest alone. Ones choice. Free country.
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
I strongly oppose limiting our ability to invest in instruments of our choosing, just as you oppose us limiting your ability to invest in instruments you an privy information about.
Strongly opposed to proposed regulations.
Please do not interfere with my right to invest.
The public is capable of doing their own research. There is plenty of information in the prospectus for people to make their own decisions.
The current information safeguards for investors appears responsible and appropriate. Absent hard evidence of abuse, misunderstanding or the like, there does not appear to be a compelling need for increased regulatory involvement in this type of vehicle.
