<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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NASD Regulation, Inc., has filed with the SEC proposed revisions to the study outline and examination specifications for the General Securities Principal (Series 24) and the Corporate Securities Limited Representative (Series 62) qualification examinations to reflect changes to the rules, regulations, and practices covered by these examinations. The question banks for the Series 24 and 62
NASD Regulation, Inc., has filed with the SEC revisions to the examination specifications and study outline for the Investment Company Products/Variable Contracts Limited Principal (Series 26) examination program. The proposed revisions would update the material to reflect changes to the rules, regulations, and practices covered by the examination. The proposed revisions are reflected in the
NASD Regulation, Inc., has filed with the SEC a Notice to Members 01-23 reminding members that they have suitability obligations when they make recommendations to customers online.
I am very much against restrictions proposed in this regulatory notice. While the risk of financial loss when investing in these products is high, so is the opportunity for significant profits. Government should not control how I invest my money or make me run through multiple hoops to invest. Please do not implement the proposed rules.
I do not support these changes. I should not need approval from my bank to make an investment. These rules are ridiculous! I consult with a financial advisor from a well known institution. These investment tools are risky, but I feel they are unique and productive. They are made up of reputable companies. Regulators should be more concerned about crypto. A real pyramid system.
Reducing the pool of potential investors does not sound to me like a plan to make investing easier or better. These restrictions also don't seem like steps to make the markets more efficient - the proposed rule sounds like a way to make the markets way less efficient. Anyone should be able to buy - or to sell - these holdings.
NASD has filed with the SEC a proposed rule change to the By-Laws of the National Association of Securities Dealers, Inc. ("NASD" or "Association") to address several corporate governance issues, including the treatment of staff Governors for purposes of Industry/Non-Industry balancing; the role of the National Nominating Committee (NNC) in contested elections; the petition
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
The 2017 Compliance Outreach Program for Municipal Advisors is designed for municipal advisor industry professionals. The focus of the program is to promote strong compliance practices for the protection of investors. FINRA is partnering with the SEC and the MSRB to sponsor the program. Topics of discussion will focus on the duties and standards of conduct for non-solicitor municipal advisors
