Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On January 5, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change codifying existing requirements for access to and use of the OTC Bulletin Board® service (OTCBB).1 This codification will provide a ready reference to OTCBB rules and operational requirements in a discrete section of
Please implement this rule, a small but important step in the long road of bring transparency and therefore retail confidence back to a seemingly easily manipulated market. Regards
(a) General Provision
(1) Each member required to join the Securities Investor Protection Corporation shall maintain blanket fidelity bond coverage which provides against loss and has Insuring Agreements covering at least the following:
(A) Fidelity
(B) On Premises
(C) In Transit
(D) Forgery and Alteration
(E) Securities
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders
I oppose FINRA Proposed Rule #22-08, and any similar legislation or regulation that limits my ability to make whatever investments I choose.
Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
I have been investing almost 30 years using leverage and complex ETF. this new rule will impact my retirement plan.
Absolutely not on proposed rule S7-24-15
We are perfectly capable of making our own investment decisions without government oversite
It is wrong and none of their business what I invest in. I oppose any change to the rules. Not far to stop me from making money on them.
