FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: December 12, 2008
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
You guys should not classify Retail Investors as a naïve person. Nowadays, Retail Investors have access to information to self-educate themselves on risks of trading leverage products (eg: Google Search, Reddit, Boggle heads and list goes on). I personally hold TQQQ for more than 2 years and will continue to do so as it continues to provide outsized return relative to underlying index. The
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Summary
FINRA has released an updated Security Futures Risk Disclosure Statement (2020 Statement) to replace the one that was last updated in 2018, and a supplement (2020 Supplement) that reflects the disclosure updates described herein.1 The 2020 Statement incorporates all cumulative changes made to date, which include, among others, conforming changes for updates to the market-wide circuit
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
The NASD has recently received information about the increasing use of so-called "negative response" letters. These letters are used to facilitate members' recommendations that customers switch from one mutual fund to
