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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
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.
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.
I absolutely oppose the subjective and onerous regulations proposed, which limit and/or make it unnecessarily cumbersome to invest my hard-earned money to best provide for my family.
I am fully capable of sufficiently educating myself before investing, and resent FINRA's presumption that I am not.
This proposal is another example of government overreach and attempts to control private
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
Notice of Annual Meeting of FINRA Firms and Proxy
I firmly object to the measures being proposed in this rule, particularly any steps to restrict what products I am able to procure through my brokers as a private (retail) investor. My concern especially applies to the purchase of leveraged ETFs. As a private investor or trader, the onus has been and always will be on me to acquire the necessary knowledge, experience, and trading acumen to be
P & M CORPORATE FINANCE, LLC120 S. RIVERSIDE, SUITE 2100, CHICAGO, IL 60606P G BOOLE, LLC18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052P. A. N. SECURITIES, LP45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850P.J. ROBB VARIABLE, LLC6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119P2 CORPORATE FINANCE, LLC964 EULALIA ROAD NE, SUITE 2,
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 14, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the definitions of "branch office" and "office of supervisory jurisdiction." Under the proposed amendments, any office at which certain specified functions take place would be defined as an office of supervisory
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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