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EXECUTIVE SUMMARY
The NASD has amended its By-Laws to require that members register with the NASD all branch offices located outside the United States. Article I, Section (c) of the NASD By-Laws defines the term "branch office
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the New Issue Form today.
To find more information about the changes and to access demonstration
TO: All NASD Members and Other Interested Persons
Under the provisions of the NASD fidelity bonding rule (Article III, Section 32, NASD Rules of Fair Practice) all members who are required to be members of the Securities Investor Protection Corporation and who have employees must carry a fidelity bond.
On December 17, 1982, in Notice to Members 82-58, which described the introduction of the
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
To FINRA:
I'm a former member of FINRA, previous holder of multiple securities licenses (for over 20 years) and former registered rep and principle. I'm writing to comment and provide feedback on the proposed limitations in this regulatory notice.
I strongly oppose limitations on my (and other retail investors) ability to utilize both leveraged and inverse ETFs to achieve my
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a much needed change. It has become clear that the integrity of the United States market has been detrimentally impacted, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective