<p>A member that is an investment adviser may pay a non-member certain fees and not violate Rule 2420 if the fees paid to the non-member (a) strictly follow the requirements of Rule 206(4)-3 under the Investment Adviser's Act of 1940; and (b) are paid from fees and other income that the member has received in its capacity as an investment advisor.</p>
Tips, system visual aids, user manuals, and other tools that should aid smaller member firms in the usage of Web CRD System-related registration activities
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
GUIDANCEShort Sale RequirementsSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementSystemsTradingTrainingOATSRule 3110Rule 3210Rule 3350Rule 3370Rule 11830Rules 6950–6957Short SalesExecutive SummaryOn June 23, 2004, the Securities and Exchange Commission (SEC) adopted certain provisions of a new short sale regulation, designated
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 15, 1985, 14 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/ NMS to 2,149. These 14 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
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Table of Contents3.1.1 National Market SystemTable 3.1.1.1 Shares of National Market System (NMS) Stocks Trading Summary, 2019–2023Table 3.1.1.2 National Market System (NMS) Stocks Trading by Venue Type, 2020–2023Figure 3.1.1.3 Monthly National Market System (NMS) Stocks Trading by Venue Type, 2023Figure 3.1.1.4 Monthly National Market Systems (NMS) Stocks Trading Outside of Normal
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules 6951, 6954 and 9610 and to add a new Rule 6958. The proposed rule change would: (1) provide that the time of order origination and receipt for an electronic order is the time the order is captured by a member's electronic order-routing or execution system,
FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm Governor — John Vaccaro, Chair and CEO, MML Investors Services; Head of MassMutual Financial Advisors; Mid-Size Firm Governor — James Crowley, CEO, Pershing Advisor Solutions; Senior Executive Vice President, Global Head of BNY Pershing Small Firm Governor — Jennifer Szaro, Chief Compliance Officer, XML Securities
(a) When and How Transactions are Reported
(1) Reports of secondary market transactions in direct participation programs shall be transmitted to the OTC Reporting Facility on the next business day ("T+1") after the date of execution between 8:00 a.m. and 1:30 p.m. Eastern Time, be designated "as/of" trades to denote their execution on a prior day, and be
I oppose restrictions to my right to invest.
I understand cryptocurrency funds are new and should be regulated for an even playing field to all investors. If interested, we can find that information of crypto investment on our own. We should not be tested for a specialized investment knowledge test. Almost all other investments are available to whomever wants to invest their money without a test
