The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
tHE LEVERAGED AND INVERSE FUNDS ETFS HAVE SERVED US WELL. dO NOT CANCEL OR CHANGE THE RULES FOR INVESTING IN THEM.
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate
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SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
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On January 13, 1999,
Hello, as a normal American, I am very happy to hear about many of the proposed rule changes. We need far greater oversight on short selling. We need that data to be available to the public, and that data needs to be available to finra and the sec, too! People that are allowed to have a hedge fund, market maker, and exchange under one parent company, that then hide their positions behind data
Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
SEC Approves Amendments to Rule 13204 of the Industry Code to Preclude Collective Action Claims from Being Arbitrated Under the Code
