Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
As a private investor, who invests to provide an income and retirement savings for my family the FINRA should not limit my access to public investments.
- You should not restrict access to public investments to those that can pass a test that limits access to public investments.
- You should not set income or net-worth limits on access to public investments.
- You should not provide provide
I want to continue choosing my investments without inference from government regulators. I have been buying and selling securities for over 25 years. During that time I have invested in inverse funds, which includes a fund I am invested in today, of which I made a purchase of just two days ago. I am fully capable of understanding leveraged, and inverse funds, and should be able to continue
I am totally opposed to the Proposed Rule #S7-24-15 for the following reasons: 1. I am a small investor that has invested in leverage funds for greater than 20 years and am quite capable of understanding the risks of using leverage funds. In fact, I find it offensive that a regulator would question my knowledge of the market by using some gimmick like passing a special test related to my
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and should be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-1
January 8, 1985
Martin Luther
As an investor I have the authority to choose my own investments, make investment decisions and leverage these tools to protect my investments in a way I see fit. No regulator can speak for me or understand my priorities nor do they know what assets I own or the my strategy to protect my investments or trade in the markets. Regulators deciding what is a complex product is far too vague and it
The Reg BI and Form CRS section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
