Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and all amendments thereto, the by-laws and all amendments thereto, forms of stock certificates and any and all agreements or other documents and amendments thereto relating to the business or affairs of the
Dear FINRA:
As a systematic strategy, I have incorporated leveraged ETFs in my portfolio for the last six years. The strategy is mathematical and I follow an algorithm that determines when to buy or sell. I have use the strategy since 1989. It works and I am well-versed with the methods. I firmly believe that I should be able to choose the investment products that are key to my plan. Not a third-
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Executive Summary
On March 17, 1994, the Securities and Exchange Commission (SEC) approved amendments to the NASD Rules of Fair Practice to: (1) require filings of investment company advertisements and sales literature that incorporate mutual fund rankings to include a copy of the ranking or
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
