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Year 2000 Tips For Members Will Your Fax Machine Work?
As the millennium approaches, one of the areas all businesses should assess for Year 2000 readiness is their internal office equipment. Last month, Notices to Members provided information on how to check a PC (personal computer), and this month's tip for members involves preparing your fax machine for 2000. Firms should first contact
TO: All NASD Members and Other Interested Persons
ATTN: Operations Officer, Cashier, Fail-Control Department
On August 13, 1985, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-51 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be
The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
Sir/Madam, FINRA Regulatory Notice # 22-08 I consider it is my right and privilege to invest in the publicly traded securities like leveraged and inverse funds as part of my investment risk and returns. I have the knowledge and understanding about these securities and the risks that are involved as part of my investment strategies, the returns and loses that could come from these kind of
I am writing to state my opposition to any new rules (Notice #22-08) which would restrict my ability as an individual investor to use many of the investment products available, including leveraged and inverse investment products. I believe that the job of FINRA should be to assure us that the products are soundly constructed and to insure that the risks associated with their use are adequately
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued two Regulatory Notices requesting comment on two proposals related to its arbitration program: a proposal to expand the options available to investors when filing a claim in arbitration against an inactive firm or associated person, and a second proposal related to compensated non-attorney representatives that provide
To whom it may concern, Id like to make my voice heard regarding notice #22-08. Ive been investing for something like 25 years and started using leveraged ETFs since before the " great recession " of 2008, using them with regards to the major indexes. In that time I have never had a problem and the ETFs I used did exactly what they were advertised to do in both up and down markets.
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form users as
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the South region and one representing the Midwest region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small