Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert today warning investors to be wary of green energy investments that promise large gains from investing in companies purportedly involved in developing or producing alternative, renewable or waste energy products.
TO: All NASD Members
There appears to be a growing practice among member firms to offer their retail customers a service whereby debit balances created by the purchase of securities in the customer's cash account with the member will be automatically satisfied by the redemption of shares of a money market fund. This practice is distinguishable from what have been called "account
Updates from the March 2020 FINRA Board of Governors meeting.
Thank you FINRA for extending the period for commenting. Also, I thank you for attempting to make the U.S. Equities Market a fairer and safer place for retail investors to do business. This year is the first in which I became a direct participant in the U.S. Stock Market. Before this year I only passively participated though my retirement plan, but this year I proudly became a retail investor.
FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. On this episode, leaders from FINRA's Exam program join us for a deep dive into how the program works and what firms can expect during routine firm exams.
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member must
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual Fund
Executive Summary
Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of the July 7
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Registration
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members
(NTM) 06-37 and replace the guidance provided in that Notice
relating to the application of the Trading Activity Fee
Investors can research and compare more than 30,000 products
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has introduced a new and improved Fund Analyzer tool to help investors and financial professionals understand the impact of fees and potentially discounts on mutual funds, exchange-traded funds, exchange-traded notes and money market funds.
The Fund Analyzer’s live data
