SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
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Return to the US Constitution and make money private again instead of the central bank controlled fiat fraud.
The (American) Govt has no business holding my hand/influencing or regulating the private financial decisions of any individual.....Period.
Guidance on Special Purpose Acquisition Companies
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Staff Economists
Lori Walsh | Vice President, Chief Economist
Paul Rothstein | Senior Director, Assistant Chief Economist (Member Conduct)
Harvey Westbrook, Jr. | Senior Director, Assistant Chief Economist
Dror Kenett | Senior Economist
Matthew Kozora | Senior Economist
Patricia Ledesma Liebana | Senior Economist
Joon-Suk Lee | Senior Economist
Shawn M. O’Donoghue | Senior
WASHINGTON – Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation—including custody—of digital asset securities1 and transactions. In this statement, the staffs of the Division of Trading and Markets (the “Division”) and FINRA (collectively, the “
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Nuveen Investments, LLC, of Chicago, $3 million for creating misleading marketing materials used in sales of auction rate preferred securities (ARPS).
Public securities and public investments should remain open to the public and not restricted or regulated. Regulation makes them private, not public.
RE: S7-24-15 There is no need for FINRA to be involved in private investment matters. Do not make things more complicated and inefficient.