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FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of December 27, 1993, the following 90 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,472:
Symbol
Company
Entry Date
SOESSM Execution Level
INSL
Insilco Corporation
11/29/93
1000
WVFC
WVS Financial Corp.
11/29/93
1000
ASH
Airport Systems International, Inc.
11/30/93
1000
I oppose changing the current regulations regarding investment in leveraged funds.
Public investment should remain open to the public.
I am capable of making and accepting my investment choices without the need of special tests or permissions instituted by your agency.
Leverage funds play a key role in my portfolio and I am the one who makes these decisions. I dont desire or want changes made
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks. I do not need these measures imposed on me Leveraged and inverse funds are important to my investment strategies. Leverage and inverse funds, help me protect (hedge) my
I should be able to chose the public investments that are right for me and my family. Public investments should be available to all the public, not just the privileged Leveraged and inverse funds are important to my investment strategies. I am capable of understanding leveraged and inverse funds and their risks and I do not need any passing tests before Investing in public securities like inverse
Regulators should not choose the public investments that are right for me and my family - and my portfolio. Public investments should be available to all of the public. You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and inverse funds and their risks
I should have the freedom and flexibility to choose the investments that are right for me and my family. Public investment should be available for any investor, not just the privileged few. I am capable of understanding leveraged and inverse funds and their risks. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Dear FINRA Regulators,
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged.
I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and
I definitely do not want FINRA to make any changes to Proposed Rule #22-08. Public traded funds need to remain public. This almost reminds me that I may not be ELITE enough to participate in what has always been available to the public. The thought of being tested to see if I know enough about these funds is ludicrous. I don't believe that FINRA should be awarded this kind of control over