I strongly oppose any changes to my investment decisions. I should have the right to invest in any securities that I choose whether good or bad.
Current rules and regulations govern investors.
My investments, my decisions!
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Why do you have rules if you aren't going to implement them. Protect the retail investor not the big companies.
T-0 settlement. Excessive FTDs to be ruled as criminal. Naked options illegal. No dark pool shorting to get around the SSR
Proposed Rule Change to Revise the Series 4 Examination Program
IMPORTANT
TO: All NASD Members and Other Interested Persons
In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System.
This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS DECEMBER 31, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed new Article III, Section 42 of the NASD Rules of Fair Practice. The proposed new rule would prohibit NASD members from effecting, directly or indirectly, over-the-counter transactions in a security as to which a trading
I greatly oppose this new Rule. As a New investor the ability to pick securities is a privileges I have residing in the U.S. It is my responsibility to research what I am purchasing. Not FINRA's to tell me what I can and cannot purchase.
• Branch Offices—Failure to Register
• Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
• Continuing Education (Firm Element)—Failure to Comply With Rule Requirements
• Continuing Education (Regulatory
FINRA has implemented Form BR (Uniform Branch Office Registration Form) functionality enhancements for initial Form BR submissions that allow firms to de-select FINRA when establishing a new location designated as an RSL that needs to be registered or notice filed with a jurisdiction, the New York Stock Exchange (NYSE), or both, as a branch office. Further information on these functionality enhancements and how firms should complete an initial Form BR is available in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
