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MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to the definition of "Executive Representative" that are intended to better assure proper communication with members on important matters.
BACKGROUND
"Complex products" are a valuable resource for investors for diversification of investment strategy and risk mitigation that should be available to all investors. The notice tries to draw parallels between option trading and "complex products", but there is a significant difference in the level of leverage and potential financial exposure between these
(a) Obligations of the Registered Person
(1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied:
(A) The customer is a member of the registered person's immediate family; or
(B) Upon learning of such status, the registered person
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding engagement in connection with FINRA's rulemaking process. After carefully reviewing and analyzing the comments, FINRA is taking a number of actions to address the comments and suggestions that it received.
Rulemaking Process
Dear Sir or madam,
I am writing in opposition to Regulatory Notice #22-08. As a client at TDAmeritrade, I self direct my investments and understand the risks and potential benefits of using leveraged funds, funds that use margin, aggressive funds, emerging market funds, etc. Asking the investment firms to have acknowledgement from investors that they understand the risk vs benefit of more
On Tuesday, August 3, 2021 from 2 p.m. to 6:30 p.m. ET, the FINRA Test Facility (NTF) will be unavailable for testing FINRA Multi Product Platform (MPP) products.
This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Alternative Display Facility (ADF) platform, and the OTC Reporting Facility (ORF).
FINRA's production systems are unaffected by this event
I support FINRA Regulatory Notice #22-08. Complex investment scheme should be limited as they're deemed to be highly risky for lay person. Greedy broker and fund investors take high commissions and fees while tricking people those funds are in high yield.
For people would like to invest, they NEED:
Pass a regulator-imposed test of your specialized investment knowledge
Demonstrate a
As part of its Transparency Services improvement initiative, beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. FINRA values client testing feedback and encourages participation in this effort to validate that all processes work within clients’ TRACE reporting framework. Testing your current TRACE for Treasuries
The Neutral Corner - Volume 3—2023
Bulletin Board Designated As "Qualifying Electronic Quotation System"
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" for purposes of certain penny-stock rules that became effective on January 1, 1993. The SEC