Continuing Education
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Continuing EducationFirm Element
Suggested Routing
Compliance
Continuing Education
Legal
Registration
Senior Management
PLEASE NOTE: On July 30, 2007, the Financial Industry Regulatory Authority, FINRA, began operations. FINRA was formed through the consolidation of NASD and the enforcement, member
Foreign Research Analyst Exemption from the Research Analyst Qualification Examination; Effective Date: April 7, 2008
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registration
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) is informing NASD members of the 1999 District Committee members and the District Nominating Committee members.
Questions concerning this Notice may be directed
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Sec. 12.1 The seal of FINRA Regulation shall be circular in form and shall bear, in addition to any other emblem or device approved by the Board, the name of FINRA Regulation, the year of its incorporation, and the words "Corporate Seal" and "Delaware." The seal may be used by causing it to be affixed or impressed, or a facsimile thereof may be reproduced or
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
I feel that the move to restrict access to leveraged and inverse funds is a wrong one. Such a restriction would devoid the retail investor from access to quality instruments that could be significantly beneficial. Several academic studies have underlined the importance of leverage. The LifeCycle Investment from Yale is one such example. These leveraged and inverse funds provide a simple option
I use leveraged funds in a an investing plan in which I am fully aware of risks. The government should NOT place any restrictions on the choices of individual investors as incorporating leveraged investments into my plan is my choice and I am under no obligation to do so. If the government desires to meddle in personal affairs, how about educating people about financial programs, investing and
