<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
JOINT REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Correspondence—General
Electronic Communications
Rule 2210 (Communications with the Public)
Rule 2211 (Institutional Sales Material and Correspondence)
Rule 3010 (Supervision) Supervision
I believe inverse and leveraged funds already carry appropriate warnings from both the market makers and brokers of these funds. The information is already out there with adequate risk analysis information.
SummaryThe purpose of this Notice is to inform member firms about the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. As a self-regulatory organization, FINRA is committed to deep engagement with its member firms, including through FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory
FINRA’s secure online licensing system, the Central Registration Depository (CRD®), enables entitled users, typically individuals from a firm’s registration or compliance department, to register individuals with FINRA, other self-regulatory organizations and state regulators. In addition to registration and licensing information, the CRD system includes qualification, employment and disciplinary
WASHINGTON—FINRA’s Board of Governors met June 4-5. The Board approved two rule proposals, approved the appointments of new Advisory Committee members, met with Securities and Exchange Commission (SEC) Commissioner Mark Uyeda, and received updates on FINRA’s long-term financial planning and FINRA’s enterprise risk management and cybersecurity program.
This list of Frequently Asked Questions covers topics such as Rights of Accumulation (ROA) and Letters of Intent (LOI), as well as resources to help you educate your clients.
1. How do I submit form filings to CRD?Upon completion of a filing, select the Completeness Check link to run a completeness check for systematic errors within the form. If the completeness check is successful, click the Summary option in the left-hand navigation menu and click the Review Form button. This allows you to review the information in Form View, which matches the layout of the legal
