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The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240.1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working for a financial services industry affiliate of a member
Sec. 1. (a) The Board shall be the governing body of the Corporation and, except as otherwise provided by applicable law, the Restated Certificate of Incorporation, or these By-Laws, shall be vested with all powers necessary for the management and administration of the affairs of the Corporation and the promotion of the Corporation's welfare, objects, and purposes. In the exercise of such
It is imperative that investors have the autonomy to invest in the things we do choose. It should no be limited to a few privileged people, or the rich, or high net worth people. We live in a society that all are created equally and we should maintain this with investment strategies, opportunities and tools available to invest in.
I dont feel that we need to take a test to test our knowledge on a
I understand the Federal Government Regulatory bodies have the best interests in mind for this country's citizens as well as those investors beyond our borders as various regulations are imposed. However, in a free society it seems to me that we have the right to choose those public investments that we feel are right for ourselves as well as our families. It is frightening to
TRACE research performed up until this point has been done on an independent basis by academics and researchers who used objective methodology in order to achieve their conclusions. These studies have concentrated on United States-based corporate bond data and what, if any, the impact of TRACE has been on liquidity and transparency.
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
A Key Architect of the ABLE Act Recognized for Efforts to Advance Financial Capability for People with Disabilities
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarded Michael Morris the 2020 Ketchum Prize—its highest honor—for his extraordinary leadership in creating a better economic future for people with disabilities through advocacy, research and
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As of January 11, 1990, the following 18 issues joined NASDAQ/NMS, bringing the total number of issues to 2,694:
Symbol
While requiring disclosure of additional information regarding complex financial products seems good in principle, it seems quite possible that this will be yet another textual agreement that almost nobody reads and most people click through. Figuring out who needs the information provided and how to present it in a way that they will understand it seems important.
However, requiring testing to
Why would my public investment choices need regulated? Public investments should be available to all the public, without qualification or privilege. A test to purchase a PUBLIC security? Really? That's ridiculous and sounds like government heavy handed tactics to favor the rich. I don't need to take a test to be able to make my own choices for public investments!!