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Executive Summary
On December 16, 2003, the
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 6951 and 6952 to require members to record and report to the Order Audit Trail System ("OATS") order information relating to OTC equity securities.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
I oppose restrictions to my right to invest.
I understand cryptocurrency funds are new and should be regulated for an even playing field to all investors. If interested, we can find that information of crypto investment on our own. We should not be tested for a specialized investment knowledge test. Almost all other investments are available to whomever wants to invest their money without a test
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today issued a Regulatory Notice soliciting comments on a rule proposal designed to enhance oversight of broker-dealers' "back-office" operations by expanding registration requirements to individuals engaging in, or supervising, activities related to sales and trading support, and handling of customer assets.
It is not acceptable to block investment opportunities from the everyday investor. Placing a literacy test into the mix will not ensure fiscal responsibility, and it could block investors with test anxiety, dyslexia, or other testing issues. Blocking users without a high net worth further disenfranchises those trying to earn wealth and will increase the wealth gap. Im appalled by the outright
Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
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9100. APPLICATION AND PURPOSE
9110. Application
9120. Definitions
9130. Service; Filing of Papers
9131. Service of Complaint
9132. Service of Orders, Notices, and Decisions by Adjudicator
9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions
9134. Methods of, Procedures for Service
9135. Filing of Papers with Adjudicator: Procedure
9136. Filing of
By Jason Foye, Chief of FINRA’s Crypto Hub
FINRA’s core mission is to protect investors and promote market integrity. This mission is at the heart of everything we do. An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets
Public investments should be accessible to the public not to a privileged few. The public is capable of understanding their own investments without a need for a test. This will only limit my ability to control my wealth and future well-being and others that dont have access to the test. If you impose these regulations then the government needs to give access to every single person the knowledge