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TO: All NASD Members and Other Interested Persons
ATTN: Operations Principal, Cashier
EXECUTIVE SUMMARY
Last Date for Comments: October 1, 1986.
The NASD Board of Governors is circulating for comment a proposed amendment to Section 64 of the Uniform Practice Code, Acceptance and Settlement of COD Orders. The amendment would eliminate the exemption in subparagraph (a)(5)(ii), which provides that
REQUEST FOR COMMENT
Research Analysts and Research Reports
Comment Period Expires: August 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Investment Banking
Research Reports
Small Firms
Executive Summary
On May 10, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2711, Research Analysts
WASHINGTON—FINRA announced today that it has fined Interactive Brokers LLC $15 million for widespread failures in the firm’s anti-money laundering (AML) program, which persisted for more than five years. As part of the settlement, FINRA also required Interactive Brokers to certify that it will implement the recommendations of a third-party consultant to remedy the firm’s AML program failures.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 18, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,012. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
Please do not limit our ability to invest freely in the way we choose. We shouldnt have to jump through hoops such as qualifications and tests in order to invest/trade.
Over many many years Ive developed very rigorous risk management processes, which is part of any investors journey in the market. Dont penalize those of us who have good risk management because an uneducated few choose to invest
I oppose the restrictions trying to be imposed by FINRA related to FINRA Regulatory Notice #22-08.
It should be my decision to choose the public investment that is right for me. Public investments should be just that, available to the public not just the privileged. Leave the publics rights alone and allow us to choose what is the best investment for ourselves. I shouldn't have to go
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I not regulators 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 you can invest in public securities
like leveraged and inverse funds. Explain that you are
capable of
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well 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