The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an
Request for TRACE Reporting Exemption Under FINRA Rule 6732
I fall into the category of investors which this regulatory notice is aiming to protect: I am a relatively young retail investor who has chosen to invest in complicated funds on a self direct brokerage. Therefore, I feel the need to discuss my experience with complex products.
I acknowledge that these funds are more complicated than conventional products. However, complication does not mean
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule.
Executive Summary
NASD is issuing this Notice to Members to remind member firms and registered financial and operations principals (FINOPs) of a FINOP's duties and responsibilities under Rule 1022 (Categories of Principal Registration). These duties are applicable to all FINOPs, regardless of whether they are employed full-time or part-time, perform such duties on-site or off-site of the
Summary
FINRA has received an increasing number of reports regarding customer account takeover (ATO) incidents, which involve bad actors using compromised customer information, such as login credentials (i.e., username and password), to gain unauthorized entry to customers’ online brokerage accounts.
To help firms prevent, detect and respond to such attacks, FINRA recently organized roundtable
Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information
Similar to your accredited investor restrictions in Alternative Investments, you are doing more than you are worth. If people are not researching/making informed investing decisions then that is their prerogative but why do you feel the need to restrict those of us that have? Another waste of tax payer dollars through a bureaucratic government agency pretend to play the role of parent
Hello, I heard about the information that you potentially limit the trading of some ETFs using leveraged and reverse strategies. I strongly be against it, because I believe it's my right to choose the public investments that suit for my family and myself, not the regulators. Moreover, these ETFs are important to my investment strategies. So, please respect the rights of individual
