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Washington, DC—A new national survey shows American investors have significant and widespread anxiety about the security of their investments, particularly as it relates to their retirement savings. More investors report that they are anxious about losing money on their investments (78 percent) and saving for retirement (73 percent) than are anxious about losing their job (50 percent), buying a
<p>Applicability of NASD Rule 3030 to an associated person filing a membership application with the NASD to form a new broker/dealer.<br />
</p>
The Financial Industry Regulatory Authority (FINRA), along with BATS Exchange, Inc.<sup>1</sup>, New York Stock Exchange LLC<sup>2</sup>, NYSE Arca, Inc. and The NASDAQ Stock Market LLC, announced today that they have censured and fined Newedge USA, LLC of Chicago $9.5 million for failing to supervise trading by clients that directly accessed U.S. equities markets through Newedge's order routing platform
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CorrespondenceRule 2211
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On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and correspondence.1 The
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National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central Registration
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Comment Period Expires July 16, 1999
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Comment Period Expires September 30, 1999
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Notice of FINRA Small Firm Advisory Board Election and Ballots