Displaying 1861 - 1870 of 4654 Results
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 of the NASD Rules of Fair
In recent years, FINRA created the first uniform National Senior Investor Protection Standards. On this episode, we hear an update on where those senior investor protection rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application.
As a smaller investor (net worth <$1,000,000), I find that there is great value in being able to trade with a leveraged product. By using a leveraged product that does not require me to use personal margin, I can keep myself debt free, use a leveraged product, obtain the benefit of either rising or falling markets, and hedge long or short. I trade and focus on the S&P 500 only.
In accordance with its regulatory responsibilities pursuant to Regulation NMS, FINRA is issuing a pre-quotation notice1 to advise that it plans to certify a new participant to begin using FINRA’s Alternative Display Facility (ADF) for quotation and trading of CTA and UTP listed securities on or after Monday, March 27, 2023, subject to regulatory approval and related announcements.
Once certified
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
Thank you for taking the time to address these issues. As a retail investor I believe short interest in all of its forms including Call/Put options should be publicly available. Much information is hidden from retail and this needs to change. I hope there is serious consideration for how offenders WILL try to overcome the spirit of these regulations. "Enhanced lending" "short
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we look at the overlapping risks of AML and cybersecurity.
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." Effective December 23, 1997, OFAC updated its master list, adding the names
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update