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Posted On: 10/17/2019 4:15:26 PM
Post# of 36549
Obvious violation of SEC and FINRA Rules:
https://www.finra.org/rules-guidance/rulebook...rules/2020
https://www.sec.gov/about/laws/secrulesregs.htm
17 CFR 240.10(b)(5)
https://www.ecfr.gov/cgi-bin/text-idx?node=17...40_110b_65
https://www.finra.org/rules-guidance/rulebook...rules/2020
https://www.sec.gov/about/laws/secrulesregs.htm
17 CFR 240.10(b)(5)
https://www.ecfr.gov/cgi-bin/text-idx?node=17...40_110b_65
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