SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Dear Regulators, Thank you for the opportunity to comment on this proposed regulation. We didn’t choose unprecedented debt or rising inflation. It’s a matter of human rights to allow individuals to choose their positions in the market with intelligence, education, and any capital that could offset the problems that have been created for us. We are trading with depreciating dollars that have
The Trusted Contact Persons 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.
NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
When you retire, you begin to take income from your defined benefit pension or defined contribution plan. You may also take income from a Social Security account. Learn about the payout options from each source and what each means for your personal situation.
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
article h1::after {
content:'1';
white-space:pre;
vertical-align:super;
font-size:0.5em;
line-height:0;
}
Quantum mechanics is a branch of physics that deals with the complex properties of atoms and sub-atomic particles.2 Quantum computing leverages the principles of quantum mechanics to solve problems too large or complex for traditional computers. Although quantum computing is still
Supervisory activities requiring registration as an Equity Trader.<br/>
