FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
I am able to make my own investing choices. I would never invest in any type of investment that I have not done my own research on and feel comfortable with.
We do not need more unnecessary rules.
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Senior Management
Legal & Compliance
Operations
Trading
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Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC)
I use leveraged funds as a strategic portion of my investments. Overall, it makes up a very small part of my net worth. Please do not change the rules on me. This does not protect people like me.
I am adamantly against the proposed rule to end inverse and other similar products. During volatile market periods, these products have helped to protect my portfolio. Thank for the opportunity to express my viewpoint on this matter.
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Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or
INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
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Continuing Education
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Foreign Deferrals
In-Firm
Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
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!
