FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
The Consolidated Audit Trail (CAT) section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
GUIDANCE
Short Interest Reporting
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KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
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Systems
Technology
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NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
The Fixed Income Mark-up Disclosure section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Any investor should be able to choose the public investments that are right for them. Investments should be available to all of the public, not just the privileged.
I find it offensive that I would have to go through any special process like passing a test before I can invest in public securities, similar to leveraged and inverse funds. The reason they are necessary in the first place is
Comments:You will be surprised to see how well we understand leveraged and inverse leveraged ETFs. There is a lot of information on the internet about it and we do our research. Sure, we dont have the connections that the big boys on wall street have or their multimillion dollar accounts but we do understand the markets and the problems with inflation we are having right now.
Besides, even the
