I'm 10-15 years from retirement as a senior business systems analyst for over 25 years, with an M.B.A. and B.S. Psychology (thus, understand stats, metrics, patterns, cause & effect), who's spent the past 5 years studying financial markets and investing research, primarily so that I can retire sooner or better, but also to better understand economics, markets and business.
FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”). In particular, FINRA and the national securities exchanges, as CAT NMS Plan Participants, have entered into a Rule 17d-2 Plan and corresponding Regulatory Services Agreements (RSAs) to coordinate regulation of the CAT
ACTION REQUESTED
Expungement
Comment Period Expired December 31, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Central Registration Depository System
Expungement
Executive Summary
The
Remarks From the National Compliance Outreach Program for Broker-Dealers
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 8, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments and suggestions on the concept of a rule that would restrict broker-dealers that are affiliated with issuers from making a market or trading in the securities of those issuers. The NASD invites comments on whether such practices should be restricted and, if so,
Hi there,
I am writing in severe opposition to Regulatory Notice #22-08 which explores the possibility of a number of limitations and regulations on the common investor. This regulation is absurd and I am completely against it!
First, it is my right as a citizen of this country to invest my money as I wish. Only I can determine what is and isn't best for myself and my family financially
TO: All NASD Members and Other Interested Persons
ATTN: Training Directors and Registration Personnel
The purpose of this notice is twofold:
Part I announces the availability in mid-March of study outlines for a revised Series 7 General Securities Representative Qualification Examination. Pending SEC approval, it is expected that this new version of the test will be introduced at the June 1986
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
