INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below
Summary
The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
Series 7 registered representatives are not required to register under Series 55 as equity traders based solely on the fact that they perform the clerical function of entering customer phone orders into the same routing system that customers could use to enter orders electronically. The Series 7 representatives, under the facts described in the letter, would not provide any advice to the customers, including advice on possible paths or methods of execution.
Dear FINRA,
The(Your) tentative unnecessary regulatory interference, deemed potential unwarranted regulatory adjustments, by the majority of investors in U.S. financial Markets', and the/their use of 'free-trading' instruments in the purchase and sale of, ie., Currencies, Commodities, Bonds, Notes, Stocks, ETF's, etc., such as and in particular, those '
The Commodity Futures Modernization Act of 2000 ("CFMA") lifted the ban on the trading of security futures, i.e., single stock and narrow-based stock index futures ("security futures"). Because they are subject to regulation both as securities and as futures contracts, security futures must be traded on trading facilities and through intermediaries that are registered with
Investors should be allowed to invest in all types of securities. Investors should not be discriminated against based on investment balance or net worth and should not have to pass a test to be eligible for certain investments. Brokers, such as Schwab, Fidelity, and Robinhood, and investment product providers, such as Proshares, all do a great job of informing investors of the risks associated
Email: [email protected] Subject: Regulatory Notice 22-08 05/08/2022 Please allow leveraged and inverse funds to continue. Public investments should be available to all of the public and should not be restricted to only certain groups or individuals. I have a hard time understanding why restrictions are being considered for leveraged and inverse ETFs such as index funds while high risk stocks
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
While I believe that no one should invest in anything they do not understand, I do feel that any investor should be allowed to invest in any publicly available investment without restriction. Today, stocks are overvalued, rates and inflation are rising, and the government is printing money like never before. Will it all end badly? Of course it will, but if you put restrictions in place on what
