Compliance question for Don or Gene

Discussion in 'Prop Firms' started by vonk, Oct 5, 2002.

  1. vonk


    Do posts to this board, or any board for that matter, by a person who is registered with NASD and affliated with a firm, fall under the adverstising rules of the NASD?

  2. Why not just call the NASD? There are advertising rules as well for the P-Coast, Philly, and the Chicago.

    I have all the numbers if you need them.

  3. There are guidelines from most regulatory agencies about the dissemination of information from any Broker Dealer. All posts here are archived and (most) reviewed by our Compliance people, and are available to our Regulators. I know that Gene and I (and the others) do our best to post accurate information when answering questions about trading or our respective Firms.

    If you're concerned about anything else with someone's advertising, then I suggest you speak directly with the Principal of that firm (or firms) involved.
    This is a public forum, and common sense prevails, as in most things.

    If you have specific questions, feel free to PM directly, and I'll be happy to have my Compliance people review it.