FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill is accessible through the FINRA Firm Gateway-a tool that provides centralized access to FINRA regulatory and filing applications.
*IF THIS GOES PUBLIC PLEASE RESPECT MY PRIVACY AND DONT USE THE WORD 'DIG'*
I HAVENT BEEN ABLE TO RESPOND TO A REQUEST FOR COMMENTS SUGGESTIONS REQUESTED A COUPLE OF YEARS AGO BECAUSE I WAS TAKING CARE OF 3 FAMILY MEMBERS WHO HAVE DEMENTIA ONE OF WHICH RECENTLY DIED SO I AM NOW ABLE TO COMMENT IMMEDITELY.
AWHILE BACK I HAD WENT TO VARIOUS FULL SERVICE BROKERS SEEKING TO JOIN UP
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
1.
Election of persons to serve on
Chairman Clayton, Commissioners, and Members of the Committee, thank you for inviting me to appear before you today to discuss the important issue of customer recovery in the financial services industry, including the issue of unpaid arbitration awards. For purposes of today’s discussion, my remarks are focused on unpaid awards in customer arbitration cases.
FINRA is fully committed to reducing
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice that would: (1) subject advertisements and sales literature
Thank you FINRA for extending the period for commenting. Also, I thank you for attempting to make the U.S. Equities Market a fairer and safer place for retail investors to do business. This year is the first in which I became a direct participant in the U.S. Stock Market. Before this year I only passively participated though my retirement plan, but this year I proudly became a retail investor.
COMMENTS ON 22-08 You have made this request for comments so complicated that it is hard to follow. I will just list my ideas and you can try to sort them out. On my trip from model airplanes to airline captain I have made many replies that affected new FARs. This a free country and everyone should be able to risk some $ and try to make more $. This should include hedge funds, but limited to a
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 6, 1985, 32 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,077. These 32 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
FINRA has updated its equities and fixed income transparency services participant agreement and has also created an amendment to the agreement.
