Mr. Chairman and Members of the Subcommittee: NASD is grateful to the committee for inviting us to testify on NASD's regulatory activities regarding inappropriate sales of certain investment products to members of the armed forces and NASD's financial education programs focused on military servicemembers and their families, and for allowing us to submit this statement for the record.
FINRA Recommends Review of Municipal Securities Activities
Retirement plans like a 401(k) are long-term investments. But that doesn’t mean you should set them up and forget about them until you retire. Schedule an annual 401(k) “checkup” to make sure your plan still meets your needs.
Municipal securities fall into two categories: 1) municipal bonds issued by states, cities, counties and other governmental entities to raise money to build roads, schools and a host of other projects for the public good; and 2) municipal fund securities. Municipal bonds are typically sold in minimum increments of $5,000, pay interest on a semi-annual basis, and have maturities that range from
An automatic retirement plan offers one or more features that require no action from you, the employee. The most common automatic feature is enrollment. These five tips can help you make the most of your company’s automatic features.
Breakpoint discounts are volume discounts to the front-end sales load charged to investors who purchase Class A mutual fund shares. The extent of the discount depends on the amount invested in a particular family of funds. For example, a mutual fund might charge a front-end load of 5.75 percent for share purchases of less than $50,000, but reduce the load to 4.50 percent for investments between $
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing education Firm
Like any other investment, employee stock awards come with risks. What should you consider if your company grants you a stock award or you're considering a job that includes equity compensation?
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
If you want to save more, America Saves Week is the perfect opportunity to commit to a plan to do so. Taking the America Saves Pledge can be the nudge you need to help meet your savings goals. You’ll choose what you’re saving toward and how you plan to achieve it.
