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February 2020
Trading & Financial Compliance Examinations (“TFCE”) of the Market Regulation Department (“Market Regulation”) at the Financial Industry Regulatory Authority, Inc. (“FINRA”) is conducting a review of [FIRM] concerning the Firm’s decision not to charge commissions for customer transactions, the impact that not charging commissions has or will have on the Firm’s order routing
I should be able to decide what I want to invest in and I don't need to be tested to decide what I want to invest in
I should have access to leveraged and inversed fund. I know what they are. I should not take test to invest in these funds.
I do not feel the need to be tested on my option and ability to purchase investments- especially those publicly traded.
I oppose more regulations and restrictions, I should be able to choose my investments without some approval test
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended claim with
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of November 23, 1998, the following bonds were added to the Fixed Income
I would like to continue to invest in leveraged funds. A test is excessive, but a simple video that must be viewed would be okay
Firm Also Fined $1.1 Million for Supervisory Failures
WASHINGTON—FINRA announced today that it sanctioned Aegis Capital Corp. approximately $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were potentially excessively and unsuitably traded by the firm’s representatives. FINRA also imposed a $1.1 million fine for Aegis’ supervisory violations.
FINRA’s case
Market Regulation Compliance Report Cards
On September 24, 1998, staff of the Market Regulation Department (Market Regulation) of NASD Regulation began making available quantitative reports for each NASD member firm concerning its compliance with trade reporting, firm quote, and best execution. The reports are being provided to firms as a compliance aid to assist them in ensuring that they are