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Representatives who leave their firms often contact former customers and emphasize the benefits the former customers would experience by transferring their assets to the firm that recruited the registered representative (recruiting firm) and maintaining their relationship with the representative.
In this situation, the former customer's confidence in and prior experience with the
Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications
Trading on securities exchanges and alternative trading systems (ATSs) has evolved to the point that these venues now execute electronically the vast majority of their volume. This increased automation of trading and the popularity of sponsored or direct access arrangements where broker-dealers allow customers to trade in those markets using the broker-dealers' market participant identifiers
Deferred variable annuities are hybrid investments containing securities and insurance features. Their sales are regulated both by FINRA and the Securities and Exchange Commission (SEC). These annuities offer investors choices among a number of complex contract features and options.
Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable
San Diego, CA
August 9, 2018
Agenda
8:30 a.m. – 9:00 a.m.
Registration
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Social Media and Digital Communications Compliance
Discuss the content and supervision standards that apply to all electronic communications
This data provides comprehensive information for collateralized mortgage obligation (CMO) securities with quantities under 1 million that traded within the past 10 years. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Learn more about CMOs and other bond types.
Fixed income data is compiled from multiple sources, including but not
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its specifications.
FINRA ("FINRA") respects the intellectual property rights of others and expects its users to do the same. In accordance with the Digital Millennium Copyright Act of 1998, the text of which may be found on the U.S. Copyright Office website at http://www.copyright.gov/legislation/dmca.pdf, FINRA will respond expeditiously to claims of copyright infringement committed using the FINRA
As an investor in leveraged ETFs, I oppose adding additional requirements to be able to invest in them. There are already very aggressive warnings against investing in leveraged ETFs on the brokerage sites that I've used (specifically Fidelity and Schwab). These extra warnings informed me that these products are not suitable for most investors and made you acknowledge that these
A completely transparent market would allow retail traders to self teach themselves much easier. Along with an official site with all data, Picture Ortex without having to pay $500/year. Also, give us up to date information.... this T+2, T+5, T+13, T+35 stuff is nonsense in today's day and age. We have the technology to do it, so why aren't we giving current information? Creating a