To Whom It May Concern, The proposed regulation, while put forth with genuine intent is not fully appreciating the consequences. Needing to prove knowledge with testing requirements on a relatively basic product is overly cumbersome on an already overwhelmed regulatory body. These investment products afford retail investors an opportunity to participate in a more aggressive strategy to build
The FINRA Investor Education Foundation devoted significant resources in 2008 to helping two vulnerable and often under-served groups weather the current financial and economic crisis – the nation's seniors and U.S. military service personnel.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website. Closing all browser sessions and opening a new session will normally alleviate this problem.
Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Training
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred
Total of 56 Settlements Reached with Member Firms Resulting in $89 Million in Restitution to Eligible Charitable and Retirement Accounts
WASHINGTON—FINRA announced that it has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearly 110,000 charitable and retirement accounts as a result of its mutual fund fee waiver initiative. All of the firms,
Playbook Can be Accessed by 1.7 Million Girls, Including 571,000 From Communities of Color
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) announced today that it has partnered with Girl Scouts of the USA (GSUSA) to launch new financial education programming and resources to meet the needs of girls and their families in underserved communities.
The FINRA Foundation
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceResearchSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
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.
