From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
TO: All NASD Members
The Securities and Exchange Commission has adopted the amendments proposed in March to its shareholder communications rules. The amendments, which specify the obligations of brokerage firms and issuers, stipulate:
• That issuers who request a list of nonobjecting security holders from one broker must request it from all brokers with customers who beneficially own the issuer
Beginning with the June 2009 reporting period, FINRA is issuing a preliminary version of the OATS Compliance Report Card in an effort to provide firms with more timely information regarding their overall OATS compliance performance.
In observance of Christmas and New Year’s Day, FINRA’s Market Transparency Reporting Systems will follow the schedule below:Monday, December 25, 2023 ClosedMonday, January 1, 2024  
1. My firm filed with the Advertising Regulation Department a retail communication that promotes or recommends a private placement subject to the filing requirements of FINRA Rules 5122 or 5123. Do we now need to file the same communication with the Corporate Financing Department?
A. No. A firm that has filed a retail communication with the Advertising Regulation Department will be deemed to
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On January 1, 1991, amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules"), which require NASD members to make reasonable efforts to obtain
Comment Period Expires October 17, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form,
LETFs are indeed complex investment instruments but I believe current disclosure requirements are more than sufficient for investors to remain informed about the products they are buying. Limiting the purchase of LETF products to accredited investors or requiring financial literacy tests to purchase only puts unnecessary roadblocks in place that are easily circumvented. Enforcing one day holding
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
All reports should be consolidated for all markets in one location where it is easily accessible to all investors. FTDs should be reported daily and should be required to be cleared within a a T3 timeline without exception. Short positions and changes to those positions should be reported daily and that information should be made available to all investors no later than the next business day
