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.
This episode originally aired in April 2019. The only thing many people know about money laundering is what they’ve learned from Hollywood. So if you want to really understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, tune in. On this episode we talk to two of FINRA’s Anti-Money Laundering experts.
Supervisor Barred from Supervising, Suspended and Fined; Additional Broker Sanctioned
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred broker George Johnson from the securities industry for engaging in a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, Inc. (OTCBB: IWEB).
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.
Delivery of a Margin Disclosure Statement to Non-Institutional Customers
The Risk Control Assessment (RCA) survey is an important component of FINRA’s risk-based exam program—the goal of which is to have our examiners better prepared when they arrive at firms and more focused on those areas that present a real risk to investors or the marketplace.
(a) DefinitionsFor purposes of this Rule and any interpretation thereof:(1) "Communications" consist of correspondence, retail communications and institutional communications.(2) "Correspondence" means any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.(3) "Institutional
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 20, 1983
The National Association of Securities Dealers, Inc. (the "Association") is submitting for membership vote a proposed new section of the Rules of Fair Practice which, if adopted, would replace the current Interpretation of the Board of Governors — Review of Corporate Financing
Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible firms be represented