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Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
After several years of discussion, the Securities and Exchange Commission (SEC), NASD, and North American Securities Administrators Association (NASAA) have resolved their differing views regarding disclosure requirements
Neutral Corner - February 2007
Comments:I have used various leveraged etf in conjunction with my stocks and mutual funds for years. Im an individual investor with a regular job. Anyone investing in this category is responsible to do their own research regarding the risks and benefits on the direction website. There is short but effective information readily available pertaining to the nature of these levaraged investments. As
WASHINGTON— FINRA announced today that it has named Rainia L. Washington as Executive Vice President – Chief Human Resources Officer. In this role, she will lead FINRA’s People Solutions team, overseeing the organization’s talent recruitment, training and development, diversity and inclusion, compensation and benefits, and employee relations. She will report directly to FINRA President and CEO
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
FINRA’s Board of Governors met on September 23 and 24, and approved a proposal to establish a modest fee for individuals who choose to complete continuing education (CE) to remain qualified for up to five years following the termination of the individual’s registration. The Board also approved two rulemaking items and reaffirmed FINRA’s Financial Guiding Principles.
Summary
FINRA requests comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Under the proposal, FINRA members would be required to provide their Rule 605 reports to FINRA, which FINRA would publish in a centralized location on the FINRA website.
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at
Summary
FINRA requests comment on a proposal to expand TRACE reporting requirements to collect information on trades in foreign sovereign debt securities that are U.S. dollar-denominated. Issuance activity in these debt securities has accelerated in recent years and FINRA believes the proposal would provide important regulatory information on an increasingly active segment of the market. Under