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FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
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Legal & Compliance
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NASD® member firms may now order rosters of their registered persons who are subject to the Regulatory Element of the new Securities Industry Continuing Education rules, which were effective July 1, 1995. (See Special Notice to Members 95-13, March 8, 1995).
Firm rosters will be prepared from a database periodically extracted
I choose investments based on my own research and situation. With a BS in Engineering and a MS in Science and Technology Management, I believe I am perfectly capable of making my own investment decisions without FINRA's help or interference. Arbitrary restrictions by FINRA is offensive to me - it's like you are trying to only let "well off - rich investors" buy
Comments: All investing involves risk. Stocks, Bonds, Mutual Funds, ETFs, Commodities, Currencies. Imposing sanctions, regulations on a specific sector or industry that market "complex products" is arbitrary, biased and prejudiced when not imposing the same sanctions, regulations on other risk assets as Stocks, Bonds, Mutual Funds, ETFs, commodities, etc. Those who market these "
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Senior Management
Internal Audit
Legal & Compliance
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Executive Summary
The Department of the Treasury (Treasury) recently announced a delay in the effective date for certain amendments to the Bank Secrecy Act (BSA) that were scheduled for January 1, 1996. The amendments, which require broker/dealers to comply with additional recordkeeping
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Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceOperationsTraining
Executive Summary
Effective April 29, 1994, the Department of the Treasury (Treasury) issued regulations under the Government Securities Act of 1986 (GSA) to require broker/dealers to initiate buy-in procedures for mortgage-backed securities that are in a fail-to-
Hi,
I would like to express my opinions on Regulatory Notice #22-08:
1.
How do members categorize products as complex? Have firms implemented categories or tiers of complex products and, if so, how have firms determined such tiers? What types of products have recently been introduced that should be viewed as complex? Does our description of characteristics that render a product complex continue
October 21, 2002NASD Provides Updated Guidance on OATS Reporting Responsibilities for Orders Executed in a Riskless Principal Capacity by Both Non-market Makers and Market Makers.BackgroundPursuant to NASD Marketplace Rules 6954(d) and 6955, all member firms must record and transmit to the Order Audit Trail System (OATS) specified information about, among other things, the execution of customer
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Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Since December 1, 1990, Nasdaq market makers that are also market makers in the Small Order Execution System (SOES) have been required to display sizes in their quotations equal to or greater than the SOES tier size of
On October 24, 2022, the Election Notice and ballots to elect Regional Committee members in contested elections were mailed to executive representatives of FINRA member firms in Districts 4, 8 and 9 (these Districts were the only contested elections). Ballots must be returned no later than November 23, 2022. Newly elected committee members will take office in January 2023. Ballots were not mailed