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Board Approves Rulemaking Items, Hosts Securities and Exchange Commission Officials
WASHINGTON—FINRA’s Board of Governors held its fourth meeting of the year—the first with Eric Noll as Chair—on Sept. 21-22 in New York. The Board approved two rulemaking items and continued its engagement with key stakeholders by hosting officials from the Securities and Exchange Commission (SEC).
The FINRA
Leverage has worked for me. Please stop taking good opportunities away from an informed investor
Please let investor select their own choice. Let investor know the product information and the included risks
Please let investor select their own choice. Let investor know the product information and the included risks
WHY IS IT OK FOR YOU TO GET INSIDER TRADING INFORMATION? NOT OK FOR US TO CHOSE OUR OWN INVESTMENTS?
proposals are punitive to the investor .If there is no fraud what is the use of the restrictions .Information about the risk is all what is needed .
I am against the vote as an informed investor it is my choice knowing the risks associated with these products, if I want o invest or not.
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD requests members to vote on proposed amendments to Article III, Sections 2 and 21 (c) of the
The FINRA Institute CRCP Scholarship Program provides small firms-those with less than 150 registered representatives-with a financial grant covering full tuition for the entire program, including room and board for the residential courses at Wharton.
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and