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 It's outdated and clear that you just want more control over who can invest, when they can invest, and how many people can actually become financially stable in the future,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
Retail investors are becoming more and more skilled, even as people have begun to invest from less traditional backgrounds. Requiring testing or other requirements prior to allowing investment in certain investment vehicles and products would effectively shut out many retail investors, particularly investors that are from non-traditional investment backgrounds.
Many investors, particularly
To Whom It May Concern [FINRA Regulators] -
I am the personal investment manager of my retirement accounts for the benefit of myself and family. Over the last decade, I have consistently outperformed professional fund managers.
As a knowledgeable, experienced, and self-reliant investor, I feel I have the right to manage my own investments in public companies that are appropriate for myself and
I do not need any governing body deciding for me how to invest. There didn't seem to be any concern over how retail investors spent their money in the stock market until January of 2021. Institutional investors repeatedly creating systemic risk by their gambling with derivatives are an actual imminent threat to our markets. They are the ones who need significantly more regulation and
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
Archive
For Your Information
National Association of Securities Dealers, Inc.
June 1989
Test Date and Site Changes for June and July Examinations Announced
July First Saturday Date Change
The first Saturday exam session date for July has been changed to July 8, 1989, for all test centers because of the Independence Day holiday that falls after the first weekend of the month.
Requests for
The RegTech Association is a non profit, global industry association representing 160 organisations across the RegTech spectrum including banks, financial institutions, intermediary service providers, large tech and 120 RegTech companies. We work closely with regulators like FINRA to surface the discussions, promote the benefits of initiatives such as the Machine Readable Rulebook that lead to
The Subscriber Manual is a companion document to the OATS Reporting Technical Specifications.
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
