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SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
BACKGROUND AND EXPLANATION
Part VI, Sec. 7(b) of Schedule D to the NASD By-Laws permits excused withdrawals based on demonstrated legal or regulatory requirements when supported by appropriate documentation.
In order to
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
08-52 - SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
Technology Changes for Reporting Certain Complaint
and Disclosure Information
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s “courthouse” for disciplinary and
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Testimony Concerning Auction Rate Securities Markets, Committee on Financial Services, U.S. House of Representatives
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
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Request for Comment
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Continuing Membership Application
Membership Agreement
I am disturbed and appalled to hear that FINRA is planning to prohibit my ability to invest in leveraged and inverse funds. I adamantly oppose to any regulator deciding how I should invest! I am angered by this arrogant and tyrannical effort to restrict how a consumer should invest his/her money. This is a clear and coordinated attack on the retail consumer to place the wealthy at a clear