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FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to apply minimum fees to requests for expungement of customer
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer, Form U-4, and the Uniform Termination Notice for Securities Industry Registration, Form U-5. The changes
