ACTION REQUESTED
Taping Rule
Comment Period Expires: July 25, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Public Disclosure Program
Rule 3010
Supervision
Taping Rule
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule
SEC Approval and Effective Date for New Consolidated FINRA Rules
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at
ACTION REQUIREDBroker-Dealer and Investment Adviser RenewalsPayment Deadline: December 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementRegistered Representative, RegistrationIARDSMMaintenance FeesRegistrationRenewalsWeb CRD®Executive SummaryThe 2005 NASD Broker/Dealer and Investment Adviser Registration Renewal Program will begin on
The right of investors to elect to put their hard earned money into inverse or leveraged ETFs should not be impeded through regulation. The issuers of the ETFs should be required to provide sufficient information to the investor regarding the potential risks of an investment in their ETF; however, the final decision should be up to the individual investor. Cryptocurrencies, lotteries and casino
To Whom It May Concern,
I am an educated, responsible, tax paying citizen of the United States that has been investing my hard earned money
in various securities for more than 40 years. I read and study financial information on a daily basis, and have been subscribing to numerous financial publications for many years. I take exception to the fact that government regulators continue to attempt to
The Neutral Corner – Volume 4—2023
Comments: My broker already gives proper warning and reviews request to access these types of trades. Retail, new, and small investors are already at a disadvantage in todays market that allows high net worth entities access to trading outside regular market hours and through AI driven trades that give them a leg up when new information is presented to the public. Adding more restrictions or
OverviewThe following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for
ACTION REQUIRED
Broker/Dealer and Investment Adviser Renewals
Payment Deadline: December 5, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
