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TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
83-15
April 8, 1983
Underwriting Compensation
5/7/2022 ..Special Test! Do I need you to look over my shoulder as I decide that the price of a security is unrealistically high? Maybe force me to take a special test to judge if I am worthy to take a position?
So what is it? A complete lack of understanding free/fair price discovery? Or arrogance that you (the experts??) know best for the rest of us.
Have you noticed that markets go up and down
I'm an ordinary investor in my 50s and have been investing in leveraged and inverse ETFs for about a decade. As an adult and investor I should be able to invest in leveraged and inverse products without requiring me to jump thru hoops. Leveraged products should be treated like any other high risk stocks or instrument, i.e., raise the margin requirement but do not require any undue
This is proposal is another fine example of government intervention where none is needed. I know that this proposal is written by special interest groups driven by their profit motivation not for the best interest of the public. No one is going to invest in a leveraged fund unless they know what they are investing in. In no way should regulations require that investors go through any special
Digital Experience Transformation Invites Firms to “Help Us Design the Future” of Compliance Reporting and Management
WASHINGTON – FINRA announced today that it is launching an initiative to transform the digital platform that firms use to engage with FINRA across several programs. The Digital Experience Transformation, as it is being called, is a wide-ranging, multi-year effort to integrate and
Read the frequently asked questions for information on filling out each section of the SSOI.
Under FINRAs potential regulations, if your investments are deemed complex you might be required to: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval from your broker Attest to reading certain materials Go through cooling off periods where you cant invest FINRA Should mind their own business and leave individual investors
Each capital acquisition broker shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor its compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each capital acquisition broker's anti-money laundering program must be
I am writing to express significant concern with respect to regulations being considered by the Financial Industry Regulatory Authority (FINRA) that may restrict my ability to buy leveraged and inverse funds and dozens of other popular investments deemed by FINRA to be complex. Leveraged and inverse funds are very important to my investment strategies. I regularly use them to protect (hedge) my
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