08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to questions by members, issuers, and the legal community, the NASD is issuing this Notice to Members to
I am completely in agreement with this rule. Uneducated investors should not be investing in things they dont understand. Keep up the good work FINRA.
SR-FINRA-2009-021 -
Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
Dear FINRA Members, As well as you may know, in Argentina we have serious limitations or restrictions to manage our own surplus money. And that's the reason why I thought your country was a bit different from ours, because you have the freedom (as in many other things) to invest in whatever you want to. Now, reading about all these "rules" "tests" , etc only brings me bad
(a) Content, Scope and Form Requirements
When a decision issued under Rule 9268 or Rule 9269 or an order of acceptance issued under Rule 9270 imposes a permanent cease and desist order, it shall:
(1) order a Respondent (and any successor of a Respondent, where the Respondent is a member firm) to cease and desist permanently from violating a specific rule or statutory provision;
(2
The elevation of chosen investors, creating the “accredited investor” designation that can be achieved solely on the measure of a one's wealth or income was an egregious, unmistakable step toward oligarchy. With existing rules already in place, governmental agencies are now using a wealth/income-based designation to reserve high-risk, high-reward investment opportunities and products for
I am against this rule, appears to be a way to exclude the little guy investor from making conservative gains during a down economy.
This rule is an affront to investors everywhere. To think we are not competent enough to make our own decisions is insulting. Please reject this proposal.
