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It is an investors right to be able to access the entirety of the public securities markets. To limit this to certain high net worth individuals is discriminatory and likely easily overturned in court. Why waste the public's money on guaranteed litigation? Requiring testing before allowing investment is also a barrier to entry. What if I'm someone of lesser means, do I have to pay to
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available with the same log in credentials used to access the FINRA New Issue Form today.
FINRA has now included a training video to assist clients in the transition to the new platform.
To find more
When it feels like so many things are out of our control, sometimes the best thing to do is focus on the things that are. Here are five questions to ask for some financial peace of mind in the age of coronavirus.
Washington, D.C.-The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1,522,122 in grants to 19 recipients as a part of the Smart investing@your library® initiative to provide millions of library patrons with effective, unbiased financial education resources.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of June 27, 1995, the following 57 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,804:
Symbol
Company
Entry Date
SOES Execution Level
IBNJ
Independence Bancorp, Inc.
5/26/95
200
NINE
Number Nine Visual Technology Corp.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653:
Symbol
Company
Entry Date
SOESSM Execution Level
BUCK
Buckhead America Corporation
4/28/94
200
MLXR
MLX Corp.
4/28/94
200
ABCO
American Buildings Company
4/29/94
500
BRKB
Brooklyn
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of May 31, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
OTY.GA
Coty Inc.
10.250
5/1/05
SCK.GC
Sea Containers
12.500
12/1/04
OI.
I do not believe testing investors' knowledge of complex products as a prerequisite to their purchase is an effective way to protect those investors. Test answers could be obtained from the internet without the investor actually retaining the knowledge effectively. Additionally, a lack of understanding of a particular subset of complex products should not be reason to deny the purchase of a
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 21, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,993. These 20 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees