Government bureaucrats have no authority to infringe on the rights of free, private individual citizens to make financial decisions. Congress needs to take action to shut down regulators like FINRA who overstep their bounds.
SR-FINRA-2009-006 - Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
Thanks but I do not need your help in deciding what to invest in. I am fully capable of making investment decisions. Restrictions on my right to invest in public securities is a private matter between my wife and I.
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike.
AML isn’t just a regulatory issue; it is a national security concern. AML is essential to ensuring the continued functioning of our financial system; and every firm, no matter the size, needs to get
I only have one issue. If it's 'PUBLIC' stock then I should be able to buy - isn't that what public is? That's all: PUBLIC = PUBLIC // PUBLIC = PRIVATE- make up your mind regulatory - thx for reading.
The government has no right to involve themselves in my investment activities that is private and personal. They should spend their time working of realistic laws that do not effect my ability to earn. This is just wrong on so many levels.
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
ROUTE TO
Senior Management
Legal & Compliance
Operations
Other
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would (1) prescribe
Make SI private and only for the purpose of enduring that shares held short are not greater than the float. Investors are tired of the memesters manipulating markets trying to force shorts to cover/margin calls.