Executive Summary
As announced in Notice to Members 02-41 and Special Notice to Members 02-63, NASD has amended Section 8(a) of Schedule A to NASD's By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee which funds NASD's member regulatory activities.1
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FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours
I should have the right to invest my money where I so choose, and that should not be decided by an outside party. We all have access to the knowledge we need and can make informed decisions about what we want to invest in. Please do not take that away from us. We are informed.
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Executive Summary
On November 2, 1998, NASD Regulation, Inc. (NASD RegulationSM) filed amendments for immediate effectiveness with the Securities and Exchange Commission (SEC) that will amend Section 13 of Schedule A to the By-Laws of the National Association of Securities Dealers, Inc. (NASD®) to
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
We, the retail investor, need current and up to date, daily information. We, the retail investor, require fairness and equality in making good decisions concerning the investments we choose. With current and up to date daily information, lets us make better financial decisions.
The use of related performance information in institutional communications, subject to specific conditions, is consistent with the applicable standards of FINRA Rule 2210.
WASHINGTON— The Securities and Exchange Commission (SEC), the Municipal Securities Rulemaking Board (MSRB) and FINRA today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event to discuss compliance and regulatory matters directly with municipal market professionals. The program will be held virtually via Zoom on November 18 and 19.The event gives
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.
