Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend its rules to delete the three party trade report provisions from the NASD/NYSE TRF rules and to conform the two party trade
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to Section 1(c) of Schedule A to the FINRA By-Laws ("Schedule A") to amend the Gross Income Assessment ("GIA") paid
Whats next Fried chicken and alcohol can also be bad for you. Are you going to create a rule for people to pass a health test and a written test to be able to eat fried chicken and drink alcohol??
Its called freedom of choice. Protect it. Dont take it away.
As a retail investor, I do meticulous research on the financial health of companies I invest in, and do quite a bit of work to justify adopting a particular strategy or level of financial risk. Closing off inflows of retail investment dollars damages me, and my investments, regardless of the intent of the rule
Hello,
As a individual investor within the US, I feel that it is a right to invest in funds as I see fit without a need to undergo special training or requirements. Doing so would limit the free market dynamics and adversely impact the economy.
Please reconsider this rule.
Thank you,
James
NASD has filed with the SEC a proposed rule change for a program to conduct fingerprint-based background checks of NASD employees and independent contractors in the State of New York ("New York State") and, as business need may dictate, a program to conduct fingerprint-based background checks of NASD employees and independent contractors outside of New York State.
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change relating to the dissemination of last sale information for transactions of fewer than 100 shares in OTC Equity Securities. Specifically
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make technical amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative-Corporate Securities (Series 62) examination program. The proposed
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Equity Trader (Series 55) examination program. The proposed
