I am a retail investor in my later 30's. I have only been contributing to my 401(k) for the last 4 years, and opened my Roth IRA in early 2020. I have not been investing very long, and plan to be working another 30 years before I'll have enough to retire on. I tell you this only because I want you to understand how totally and completely the last 18 months have shaken my confidence in
Our country and history has been brought about by change. Change that may have seemed difficult at the start, may have been viewed negatively, avoided, or even resisted, but eventually led to the greater good for all. This is no different. FINRA 21-19 is a change that needs to happen for the greater good of all. It’s a change that is long overdue and needs to be expedited into action. Where there
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). For the purpose of this inquiry, the term “ATS” means an ATS operated by the Firm and/or any affiliate of the Firm that is utilized to route orders or other messages into or out of the ATS.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved an amendment that adds a new section to Part I of Schedule C to the NASD By-Laws requiring members to provide notification in writing
The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing.
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The SEC has approved amendments to Schedule E to the NASD By-Laws governing the public offering of securities issued by a member, the parent of a member, or an affiliate of a member. With the exception of an exemption from Schedule E for investment grade securities, eollateralized by financing instruments, the remaining changes
INFORMATIONALBorrowing From and Lending to CustomersEffective date: February 18, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementBorrowing From and Lending to CustomersRule 2370Executive SummaryOn August 29, 2003, the Securities and Exchange Commission (SEC) approved the adoption of NASD Rule 2370, prohibiting registered
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Appendix F under
