Displaying 2261 - 2270 of 9026 Results
I do not nor condone of any testing of etfs for trading !!
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser registration information.
I would like to choose the investment myself and should not have to have to test.
I should not have to take a test to be able to make investments of ANY kind!
August 28, 2002This article is being issued to remind firms of specific reporting obligations under the OATS Rules and the OATS Reporting Technical Specifications. Please take some time to review your code and operations to ensure the following obligations are being met.Use the Rejected ROE Resubmit Flag when Repairing RejectsFirms must set the Rejected ROE Resubmit Flag to "Y" when
INFORMATIONAL
Registration Rules
Effective Date: July 7, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Principals
Registration
Registered Representatives
Senior Management
Training
Qualification Examinations
General Securities Principal Sales Supervisor Module (Series 23)
General Securities Principal (Series
Submission of PAIB Computation in FOCUS Filings
Beginning with the June 2002 FOCUS Report, members that hold assets of other member firms and compute a PAIB Reserve with respect to such assets will need to include the PAIB Reserve computation with their regular FOCUS filing. The PAIB Reserve computation will be included as page 9B in the Part II FOCUS filing.
The PAIB Reserve
I want to have the choice to invest anyway I want without regulators restrictions or test.
Warnings are OK, but tests and other hoops are overkill and soon would be reversed anyway.