Rules & Guidance
FINRA Manual
FINRA Rules
Capital Acquisition Broker Rules
Funding Portal Rules
SEC Rules and Regulations
Temporary Dual FINRA-NYSE Member Rule Series
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
Corporate Organization
Restated Certificate of
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Unlimited Site License—the Firmwide Firm Element Solution
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Not regulators-I should be able to choose the public investment that are right for me and mine family. Public investments should be available to all of the public, not just the privileged. I do not have to go thru any special process like passing an exam before I can buy public securities. I am capable of understanding mine investments and their risks. I do not need terrible mesures, imposed on
Guidance on Social Networking Websites and Business Communications
If available to any then it should be to all. Investors understand risks and do not need regulations to protect us.
The common man or woman should have access and ability to make investments in any market they so choose.