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SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:
Monday, December 26, 2022 Closed
Monday, January 2, 2023 Closed
Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/
Summary
FINRA has amended its Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule.1 The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The
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Senior ManagementLegal & ComplianceMunicipalOperationsTraining
Executive Summary
On April 7, 1994, the Securities and Exchange Commission (SEC) approved amendments to Municipal Securities Rulemaking Board (MSRB) Rule G-19 concerning suitability of recommendations. The amendments eliminate two provisions that had operated as exemptions to the rule and clarify the
Regulations should be met not enforced, we should be able to invest freely and should not through rigorous processes nor have restrictions, its unconstitutional. At some point in your life you were all in our shoes, if not put yourself in them.
TWIMC,
Leveraged and inverse funds, among other complex products under consideration, are important tools for individual investors and should be freely accessible regardless of a persons professional background or wealth, including the ability to pay for training or advice/service. Sufficient information is publicly available for people to educate themselves and make personal risk/benefit