It is of utmost importance that people have the full freedom to deploy their money into whatever they want without major obstructions.
As it is, to protect investors, ETFs already have disclaimers, which spell out the risks. In addition, some broker accounts won't even let investors buy some ETFs or penny stocks unless the risk profile is set to be "aggressive".
When
INFORMATIONAL
Selling Away And Outside Business Activities
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Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
Senior Management
Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report.
TO: All NASD Members and Other Interested Persons
In 1981, the Association's Corporate Financing Committee undertook a study of total underwriting compensation for public offerings of corporate securities in connection with the development of a new corporate financing rule. The proposed new Corporate Financing Rule was published for comment on April 15, 1981 (Notice to Members 81-16). In
Dear FINRA Committee Members, Please do not impose trading restrictions on “Complex Products.” I am a retired public employee who has been investing for over 25 years, managing a ROTH account, 457 plan account, as well as a retail account. I sometimes use ETFs, including inverse and leveraged. They are an integral part of my investing toolbox. I am not a high net worth individual and desire to
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
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Operations
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Analyst Disclosures
Communication With The Public
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
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Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
INFORMATIONAL
Continuing Education
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Continuing Education/Testing/Qualifications
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Continuing Education Regulatory Element Notification
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Executive Summary
National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central
On Thursday, March 11, from 2:00 to 4:00 pm (ET), FINRA and SEC staff are hosting a free webinar via Zoom for funding portal members and for broker-dealer members that engage in Regulation Crowdfunding offerings. In the webinar, staff from FINRA and the SEC expect to address several topics, including:
a brief overview of recent amendments to Regulation Crowdfunding;
recent findings by FINRA
