TO: All NASD Members and Other Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
EXECUTIVE SUMMARY
Beginning with the August 15, 1987, administration of the Series 7 General Securities Registered Representative Examination, the NASD will collect a $10 test-development fee from its members for the New York Stock Exchange (NYSE) for each Series 7 grade posted to a candidate's
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
America is founded on the principal of education and independence. As an investor, I 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.
I should not have to go through any process or take a test before investing in any security. As long as we have regulations that financial
I am vehemently opposed to regulators restricting my ability to invest in leveraged and inverse funds. I have been using such funds for close to two decades -- they are an essential part of my investing approach, allowing me to preserve capital in down markets by investing in leveraged funds using less cash for the same amount of "firepower." Restricting my ability to invest in
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
Crypto is the closest thing we have currently that resembles the spirit of what the country was founded on and that is equal opportunity. Every system that was once democratic in nature has now been corrupted to favor keeping the rich rich. This corruption encourages anyone wanting to get anywhere other then the welfare line, to pay whatever unnecessary fees, taxes, or whatever exorbitant
Guys, stop with the whole, "YOU DON'T KNOW WHAT YOU'RE DOING! WE HAVE TO PROTECT YOU FROM YOURSELF!" .. It's outdated and clear that you just want more control over who can invest, when they can invest, and how many people can actually become financially stable in the future, far and near. Again, it's all about control, you want the control
For Your Information
National Association of Securities Dealers, Inc.
May 1989
Test Site Changes for May in Kansas, New York, Georgia, and Florida
New PLATO Test Centers in Kansas
Effective May 1, 1989, Control Data PLATO Development Centers began operating at the following locations:
Farmers State Bank Building, 718 MainStreet, Suite 202, Hays, KS 67601 (913) 232-1690.
Epic Office
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 40 issues joining NASDAQ's National Market System on Tuesday, August 14, there will be over 1,053 issues trading under real-time trading reporting. These 40 issues meet the SEC's voluntary designation criteria.
The securities scheduled to join NMS on Tuesday, August 14, are:
SYMBOL
COMPANY
LOCATION
ACHV
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