I am a former series 7, 6, 63 from 1994 to 2001. Back then people knew risk, with all the information now the public is so much more well informed that regulation should be MINIMAL. Minimal meaning more of a mediator than a regulator.
SummaryFINRA has amended Rule 13606 of the Code of Arbitration Procedure for Industry Disputes to provide that the Director of FINRA Dispute Resolution Services will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
Dear Sir, Please retain our ability to trade freely. Our actions are informed by massive amounts of information from diverse sources like Standberry Research, Motley Fools, Dividend Investors, etc. These are not gambled decisions. Thank you.
Summary
FINRA has adopted amendments to Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck as to whether a particular current or former member firm is currently designated as a Restricted Firm pursuant to FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111).1
The new rule amendments become effective on June 1
Please make it so data is not hidden from the retail investor. Information is king and the only way to even the playing field is to have equal information.
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
Initial plans for Nasdaq® decimalization testing are included in this Notice to Members. Also, a summary is provided of the industry critical dates.
Questions/Further Information
INFORMATIONAL
Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Consumer Information
SEC Regulation S-P
Executive Summary
In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule proposal announced in Notice to Members 97-
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As a personal investor, I understand the risk and reward with leveraged products. In todays time, there is plenty of information available for someone to make an informed decision around suitability. They are not for everyone, but for those that understand the risk, they can be a great addition to their portfolio. There does not need to be regulation around self-directed investing.
