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Table of Contents
Figure 2.1 Total Number of FINRA-Registered Firms, 2017−2021
Figure 2.2 Firm Distribution by Size, 2017−2021
Table 2.2 Firm Distribution by Size, 2017−2021
Figure 2.3 Securities Industry Registered Firms by Type of Registration, 2012−2021
Table 2.3 Securities Industry Registered Firms by Type of Registration, 2012−2021
Figure 2.4 Distribution of Branches by Firm
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Trading and Markets
Debt Securities
OperationsRule 7000 Series
TRACE Rules
Executive Summary
On March 6, 2007, the Securities and Exchange Commission approved an amendment to Rule 7030 relating to the availability of TRACE
Thank you for the opportunity to comment on the proposed changes to "Complex Products" like L&I Funds, etc. Apparently once again the government thinks that all Americans are idiots. Concern that investors may be "confused" by "complex products" - I find this attitude highly offensive. I would very much prefer that you leave
Re: FINRA Ive Invested in the Markets for over 12yrs, Ive always appreciated the fact that I could Invest freely, make my own choices and decisions on what, where, Why & when I choose to Invest, Moreover, and based on the proliferation & numerous tools & Resources available to the Individual Retail Investor these days the case for the freedom of choice became even more
I not regulators should be able to choose the public
investments that are right for me.
Public investments should be available to all of the public,
not just the privileged.
My Investment Advisor of many years experience has managed my investments to my satisfaction for over 15 years.
The very idea that an unknown, to me, group of so called regulators will over ride what
REQUEST FOR COMMENT
Rule Harmonization
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing Legal & Compliance
Registration
Senior Management
Branch Office
Initial Public Offering
Office of Supervisory Jurisdiction
RegistrationRule 2711 (Research Analysts and
Research Reports)Rule 3010 (Supervision)
Rule Harmonization
Supervision
Executive
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The U.S. Department of the Treasury recently adopted regulations under the South African Sanctions Act. The provisions of the Act were the subject of NASD Notice to Members 86-76.
This notice provides information relating to the new investment provisions of the Act which became effective on November 16, 1986.
The full text of
FINRA is conducting a targeted exam of firm practices regarding retail communications concerning Crypto Asset products and services.
I am a retail investor and have been trading various of these “complex” products for well over a decade (leveraged/inverse ETF’s and options). I find the premise of this Regulatory notice to be highly suspect – that retail investors are not sophisticated enough to be able to trade these PUBLIC instruments and should have sufficiently high impediments put in place to discourage or bar their use (
GUIDANCE
Exemptive Relief from the OATS Electronic Recording and Reporting Requirements; Enhancements to the OATS Web Interface
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Training
OATSRule 6958Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78
announcing Securities and Exchange