I not regulators should be able to choose the public
investments that are right for me.
Public investments should be available to all of the public,
not just the privileged.
My Investment Advisor of many years experience has managed my investments to my satisfaction for over 15 years.
The very idea that an unknown, to me, group of so called regulators will over ride what
FINRA Releases 2014 Regulatory and Exam Priorities
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.
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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 special
You guys should not classify Retail Investors as a naïve person. Nowadays, Retail Investors have access to information to self-educate themselves on risks of trading leverage products (eg: Google Search, Reddit, Boggle heads and list goes on). I personally hold TQQQ for more than 2 years and will continue to do so as it continues to provide outsized return relative to underlying index. The
I think a free market economy should not need censure of normal accepted commerce activity. Voted against. Here is why:
I think that regulatory overreach ought not occur. It's a free market economy we all participate in, not a private club for special interest groups with an agenda. Anyone with money should be able to transact funds in exchange for securities the market has demonstrated
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
Anti-Money Laundering
Cybersecurity and Technology Governance
Outside Business Activities and Private Securities Transactions
Books and Records
Regulatory Events Reporting
Fixed Income Mark-up Disclosure
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INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
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KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration / Depository SystemIM-8310-2
Investment Adviser / Representatives
U-4
U-5
Executive Summary
The Securities and Exchange Commission (SEC)
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)