I should be allowed to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged, elite. Keep the government and the "nanny state" out of my affairs! I don't need your so-called protection! I am perfectly capable of making up my own mind about my private investments and affairs. I understand the risks
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has recently issued its views on frequently raised interpretive questions regarding Rules 15c2-4 (the "Rule") under the Securities Exchange Act of 1934 (the "Act
The Variable Annuities section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. ABS data is collected through TRACE (Trade Reporting And Compliance Engine) and compiled with data from multiple sources, including but not limited to Refinitiv, S&P, Moody’s, and Black Knight Technologies.
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Coupon Rate
A
TO: All NASD Members and Other Interested Persons
On November 12, 1985, the Securities and Exchange Commission approved a new Article III, Section 40 of the NASD Rules of Fair Practice (SEC Release No. 34-22617). The rule establishes new requirements for the private securities transactions of persons associated with members, and entirely replaces the Private Securities Transactions
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
MARCH 18, 2020
Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. As coronavirus-related risks
The Variable Annuities 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.
Rules & Guidance
FINRA Manual
FINRA Rules
Capital Acquisition Broker Rules
Funding Portal Rules
SEC Rules and Regulations
Temporary Dual FINRA-NYSE Member Rule Series
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
Corporate Organization
Restated Certificate of
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Thursday, December 7All times are listed in Eastern Time.10:30 a.m. – 10:45 a.m.Opening Remarks10:45 a.m. – 11:30 a.m.Panel 1: Credit RatingsTopics:Rules of the RoadUnderstanding Bond Ratings: Methodologies, Consistency of Application, and Assurance of RatingsCase StudyTrends11:30 a.m. – 11:40 a.mBreak11:40 a.m. – 12:25 p.mPanel 2: Pricing Issues (New and Remarketing)Topics:Compliance