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I oppose the various impositions and restrictions on my ability to invest that are being proposed in Regulatory Notice #22-08.
(1) I am particularly concerned that the application of the term "complex" is not well-defined or specified in this notice and may grow to include anything that FINRA considers on its own volition as being too "complex" for whoever they
(a) General
This Rule 5190 sets forth the notice requirements applicable to all members participating in offerings of securities for purposes of monitoring compliance with the provisions of SEC Regulation M. In addition to the requirements under this Rule 5190, members also must comply with all applicable rules governing the withdrawal of quotations in accordance with SEC Regulation M
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice
Proposed Rule Change to Amend FINRA's Code of Procedure
As a supplement to filing FOCUS reports required pursuant to SEA Rule 17a-5 and FINRA Rule 2010, each member, as FINRA shall designate, shall file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest. The content of such schedules or reports, their format, and the timing and the frequency
With regard to FINRA Regulatory Notice #22-08, I encourage regulators to abandon the attempt to replace or limit the public's existing access to leveraged and inverse funds.
SUGGESTED ROUTING
Senior ManagementOperations
Executive Summary
On January 14, 1993, the Securities and Exchange Commission (SEC) approved amendments to Sections 59 and 65 of the NASD's Uniform Practice Code (UPC) establishing close-out procedures for instruments based on the performance of an index, currency, or other measure and establishing close-out and fail procedures to be used in
The Neutral Corner—Volume 2, 2021
Mission Statement
Zoom Zooming into Mediations In COVID-Times (by James Yellen, FINRA Arbitrator and Mediator)
FINRA Virtual Mediations (by Narielle Robinson, FINRA Mediation Case Administrator)
Bits, Bytes and E-Discovery Fights: Part II (by Lisa Miller, FINRA Arbitrator)
Is That Your Final Decision? (by Shannon Bond, FINRA Associate Regional Director,
Summary
FINRA Rule 4111 (Restricted Firm Obligations) became effective on January 1, 2022. This Notice announces that the first “Evaluation Date” for Rule 4111 will be June 1, 2022.
Questions concerning this Notice should be directed to:
Kosha Dalal, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6903 or by email; or
Michael Garawski, Associate
I agree on the rule regulatory notice 2019 and personally want it approved!