Displaying 2021 - 2030 of 9026 Results
As prepared for delivery.
Commerce and Compliance: It’s Not a Culture War
Good morning and welcome to FINRA’s Annual Conference, this year is notable in several ways, including the quality of the program and roster of speakers and attendees. Each year when we come together for this conference, we discuss and debate top regulatory concerns, as well as a range of issues affecting our industry,
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
The Observations on Liquidity and Credit Risk Management 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.
As owner of a small broker dealer since 1982 I ask you, please, to read the current regulations and conclude they are enough!! Reps 'must know their client". Prospectus must be provided before purchase. Reps must participate in continuing education. Supervisors already review all trades. What ever happened to 'let the buyer beware" as a way to teach investors lessons. How do
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Program Department
The Association is requesting comments on a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice ("Appendix F"). Appendix F relates primarily to public offerings of direct participation programs, most of which are limited partnerships. The amendment
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) is adopting final rule amendments to the Bank Secrecy Act (BSA) effective January 1, 1996. In two separate actions, Treasury is making changes that will facilitate tracing funds through the wire-transfer process. One rule change requires
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System rules to 120 days after SEC approval of SR-NASD-00-23 (April 19, 2000), which also proposes changes to the OATS rules.
I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds since these types of investments are important to my investment strategies. Leveraged and inverse funds help me grow my retirement account faster and to hedge against inflation and a bear market. Leveraged and inverse funds should be available to all the public not just the privileged.
Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each member's anti-money laundering program must be approved, in writing, by a
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
VOUT.GB
Universal Outdoor Inc
9.750
10/15/06
GGSY.GA
Gross Graphic System Inc
12.000
10/15/06
AGY.GA
Argosy Gaming Co
13.250
6/1/04
OSIA.GA