A majority of my net worth is in Bitcoin. The little that remains in the legacy system hangs by a thread - for tax benefit. Though I ask myself, is it worth it? That I must write to a 3rd party, begging for permission regarding my own money. Is it really our money if we need your permission? Is it really money if it can be printed arbitrarily.
I speak for the many who are waking up to what a scam
This follow-up to the September 2021 targeted exam (sweep) of firms’ practices related to their acquisition of customers through social media channels and their sharing of customers’ usage information with affiliates and non-affiliated third parties summarizes selected practices FINRA has observed firms implement to this point in the sweep.
The open market system is important to the U.S.A. It makes socio-economic mobility possible. It makes our country an attractive place for immigrants who also work hard and produce for our national economy. Restrictions to our open market system are effectually discriminatory. While there are so many quantifiable "real problems," restrictions to the open market is not a priority
Free markets only work if regulation / government intervention does not impede them. Any reason for limiting investor access to any investment vehicle (after providing warning of complexity for novice investors) is likely anti-free market, and definitely government overreach. By allowing certain investors to invest in these funds, and not others, if obviously fraught with issues. The logic
the T2 system on short information needs to be T0 and live or at least updated hourly. FTD submissions should be daily on a T1 system. Large institutions have a huge advantage to see live market data and can act fast, swift, and often negatively affecting the retail investors experience with the stock market. Everyone should have equal opportunity to see live market action and data to make a
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1984. 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
84-21
April 3, 1984
Adoption of a New Rule of
Don't the rich already have enough privilege as it is? Capitalism and all its functions are by the public, for the public. Systems are known to not last otherwise.
This is an absurd idea. you can't regulate how people invest their money. Every time the government regulates a free system they break it .
FINRA is implementing a new system for OTC Issuers, ADR depositary banks and other parties to provide notice of company-related actions pursuant to SEA Rule 10b-17 and FINRA Rule 6490.
Effective Monday, November 20, 2023, FINRA will be replacing the current Electronic Issuer/ADR Company Related Action Notification forms with the Corporate Actions Management Platform. This new platform will be
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
