To whom it may concern,
Please do NOT restrict access to public investments to only your preferred group of wealthy individuals. As a non-accredited retail investor it is incredibly frustrating to be denied access to the same investments that other people have access to simply because my portfolio isn't large enough. The proposed regulations only serve to prohibit retail investors such
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
New Technology Will Lead to Enhanced Efficiencies and Reduced Compliance Costs for Firms
WASHINGTON—FINRA today announced details of a multi-phased effort to overhaul its registration and disclosure programs, including the Central Registration Depository (CRD)—the central licensing and registration system that FINRA operates for the U.S. securities industry and its regulators and that provides
January 2012 Supplement to the Options Disclosure Document
It is not fair to limit the number of tools private investors can use. Companies will continue to use available tools to get the same results to avoid these limitations, which puts private investors in unfair trading capabilities.
This panel focuses on recent developments in the digital assets space. Join FINRA panelists and industry experts as they explain how these products and related initiatives are evolving and impacting the securities industry.
April 2008 Supplement to the Options Disclosure Document
Terms and acronyms candidates may encounter in FINRA qualification exams.
There are two types of 529 plans—prepaid tuition plans and savings plans. Prepaid plans offer protection against rising tuition costs. Savings plans allow earnings to grow tax-deferred, and withdrawals are tax-free when used for qualified education expenses. Nearly every state offers at least one of these types of plans.